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Oracle Financial Services Compliance Regulatory ReportingUser Guide US SAR

Release 8.0.7.0.0. July 2019

Oracle Financial Services Compliance Regulatory ReportingUser Guide US SAR

Release 8.0.7.0.0 July 2019

Part Number F25297-01

Oracle Financial Services Software, Inc.1900 Oracle Way Reston, VA 20190

Part Number F25297-01First Edition (July 2019)

Copyright ©2019, Oracle and/or its affiliates. All rights reserved.Printed in U.S.A. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise without the prior written permission.

TrademarksOracle is a registered trademark of Oracle Corporation and/or its affiliates.Other names may be trademarks of their respective owners.

Oracle Financial Services Software, Inc.1900 Oracle WayReston, VA 20190Phone: 703-478-9000Fax: 703-318-6340Internet: www.oracle.com/financialservices

http://www.oracle.com/financial_services

http://www.oracle.com/financial_services

Revision History

Revision HistoryThe following table describes the revision history of the Oracle Financial Services Compliance Regulatory Reporting User Guide US SAR.

Table 1. Revision History

Date Edition Description

July2019

The first edition of 8.0.7.0.0

No updates post the release of the 8.0.6.0.0 version.

i

Revision History

ii

Contents

Revision History................................................................................................................ i

About This Guide viiWho Should Use This Guide.............................................................................................................................................viiHow this Guide is Organized ...........................................................................................................................................viiiWhere to Find More Information....................................................................................................................................viiiConventions Used in this Guide ........................................................................................................................................ix

CHAPTER 1 About Compliance Regulatory Reporting ..................................... 1

Introduction ...........................................................................................................................................................................1About Oracle Financial Services Compliance Regulatory Reporting Application ......................................................1Workrflow...............................................................................................................................................................................2

CHAPTER 2 Getting Started................................................................................. 7

Overview.................................................................................................................................................................................7User Access ............................................................................................................................................................................8Logging in to Compliance Regulatory Reporting .............................................................................................................9

CHAPTER 3 Creating Reports............................................................................ 11

Creating STR from OFSECM...........................................................................................................................................11Creating a New Report from OFSCRR Application .....................................................................................................11

CHAPTER 4 Searching Reports......................................................................... 13

Components of Regulatory Reports List .........................................................................................................................15Search Bar......................................................................................................................................................................15List Header....................................................................................................................................................................15Action Buttons .............................................................................................................................................................15Column Headings ........................................................................................................................................................15List Matrix .....................................................................................................................................................................15

Exporting to Excel ...................................................................................................................................................16Viewing the Draft Report .........................................................................................................................................17

CHAPTER 5 Managing Report Details............................................................... 19

Components of Regulatory Report Details .....................................................................................................................19Action Buttons .............................................................................................................................................................20Report Context .............................................................................................................................................................20Report Details Tabs .....................................................................................................................................................21

Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR iii

Contents

Adding Comments to Report .....................................................................................................................................21Setting Due Date for Reports ....................................................................................................................................22

Managing Filing Institution Information .........................................................................................................................23Reporting Information ................................................................................................................................................23Filing Institution Information....................................................................................................................................24

Components of Filing Institution Information Tab .....................................................................................................25Entering Filing Institution Information .....................................................................................................................27Editing Filing Institution Information .......................................................................................................................27

Managing Financial Institution Where Activity Occurred ............................................................................................27Adding Financial Institution Where Activity Occurred.........................................................................................28

Components of Financial Institution Where Activity Occurred Pop-up Window .........................................................29Editing Financial Institution Where Activity Occurred Details..................................................................................30Deleting Financial Institution Where Activity Occurred.............................................................................................30Managing Branch Details..........................................................................................................................................30

Adding Branch Details.............................................................................................32Editing Branch Details.............................................................................................33Deleting Branch Details...........................................................................................33

Managing Suspicious Activity Information .....................................................................................................................34Adding Suspicious Activity Details ...........................................................................................................................34Managing Activity Classification................................................................................................................................37

Validations for Activity Classification.......................................................................................................................37Managing Law Enforcement Agency Details ..........................................................................................................38Managing Additional Information.............................................................................................................................39

Using Additional Information ...................................................................................................................................40Adding Additional Information..................................................................................40

Editing Additional Information ................................................................................................................................41Deleting Additional Information................................................................................................................................41Using Adding IP Address Details ............................................................................................................................41

Adding IP Address Details .......................................................................................41Editing IP Address Details .......................................................................................42Deleting IP Address Details .....................................................................................42

Using Cyber Event Details .......................................................................................................................................42Adding Cyber Event Details .....................................................................................43Editing Cyber Event Details .....................................................................................44Deleting Cyber Event Details ...................................................................................44

Managing Subject Information..........................................................................................................................................46Subject Information Overview ..................................................................................................................................46Using Subject Information .........................................................................................................................................47

Adding Subject Information.......................................................................................................................................47Editing Subject Information.......................................................................................................................................49Deleting Subject Information......................................................................................................................................49

Using Subject Address.................................................................................................................................................50Adding Subject Address ............................................................................................................................................50Editing Subject Address Details................................................................................................................................51Deleting Subject Address Details...............................................................................................................................52

Using Subject Phone Details ......................................................................................................................................52Adding Subject Phone Details ...................................................................................................................................52Editing Subject Phone Details ...................................................................................................................................54Deleting Subject Phone Details ..................................................................................................................................54

iv Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR

Contents

Using Subject Identification Details ...........................................................................................................................54Adding Subject Identification Details.........................................................................................................................55Editing Subject Identification Details.........................................................................................................................56Deleting Subject Identification Details........................................................................................................................56

Using Subject Alternate Name Details .....................................................................................................................56Adding Subject Alternate Name Details ...................................................................................................................57Editing Subject Alternate Name Details ...................................................................................................................57Deleting Subject Alternate Name Details ..................................................................................................................57

Using Subject Email Address .....................................................................................................................................58Adding Subject Email Address .................................................................................................................................58Editing Subject Email Address .................................................................................................................................58Deleting Subject Email Address ................................................................................................................................59

Using Subject Website (URL) Address.....................................................................................................................59Adding Subject Website (URL) Address ..................................................................................................................59Editing Subject Website (URL) Address ..................................................................................................................60Deleting Subject Website (URL) Address .................................................................................................................60

Using Account Information .......................................................................................................................................60Adding Subject Account Information ........................................................................................................................61Editing Subject Account Information.........................................................................................................................62Deleting Subject Account Information........................................................................................................................63

Using Subject Relationship with Financial Institution ...........................................................................................63Editing Subject Relationship with Financial Institution .............................................................................................65Deleting Subject Relationship with Financial Institution ............................................................................................65

Managing Documents.........................................................................................................................................................66Adding Documents......................................................................................................................................................66Viewing Documents ....................................................................................................................................................67Deleting Documents....................................................................................................................................................67Validate a Document ...................................................................................................................................................68Including Documents in Report ................................................................................................................................68

Adding Narrative .................................................................................................................................................................68Viewing Audit ......................................................................................................................................................................69

Regulatory Report Actions .......................................................................................70Regulatory Report Comments ..................................................................................70

CHAPTER 6 Acting on Reports.......................................................................... 71

Requesting for Approval ....................................................................................................................................................71Approving/Rejecting/Closing Reports............................................................................................................................72

Approving Reports ......................................................................................................................................................72Re-Approving Reports ...............................................................................................................................................73

Rejecting Reports .........................................................................................................................................................74Updating Rejected Reports.........................................................................................................................................74

Closing Reports ............................................................................................................................................................75Filing Regulatory Reports...................................................................................................................................................75

CHAPTER 7 Filing Regulatory Reports............................................................. 77

Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR v

Contents

Overview...............................................................................................................................................................................77Workflow for Filing the Regulatory Report ....................................................................................................................78Searching Approved Reports.............................................................................................................................................79Generating E-File ................................................................................................................................................................80Searching E-File Status .......................................................................................................................................................81Viewing E-File, E-File Details, and E-File Attachments ..............................................................................................82Downloading the E- File ....................................................................................................................................................83Submitting the E-File at FinCEN.....................................................................................................................................84Saving E-File Acknowledgments from FinCEN............................................................................................................87Uploading E-File Acknowledgment into OFS CRR Application ...............................................................................87Rejecting SAR(s) from E-File ............................................................................................................................................89Completing the SAR Process.............................................................................................................................................91Adding Comments to E-File .............................................................................................................................................91

vi Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR

About This Guide

Oracle Financial Services Compliance Regulatory Reporting User Guide US SAR explains the concepts behind the Oracle Financial Services Compliance Regulatory Reporting application and provides step-by-step instructions for navigating through the application.

This chapter discusses the following topics:

Who Should Use This Guide

How this Guide is Organized

Where to Find More Information

Conventions Used in this Guide

Who Should Use This Guide

The Oracle Financial Services Compliance Regulatory Reporting User Guide US SAR is designed for use by various users. Their roles and responsibilities, as they operate within the Oracle Financial Services Compliance Regulatory Reporting application include the following:

Analyst: This user can view, create, and edit report details. An Analyst can request reports for approval, close reports, add comments to the report, and view the final PDF.

Supervisor: This user can view, create, edit report details. The Supervisor is responsible for taking action on the reports submitted by the Analyst, such as approve, reject, re-approve, or close reports. This user can also add comments to the report and view the final PDF.

Admin User: This user can view reports, edit approved reports, re-approve, and close approved reports. An Admin User can add comments, generate e-file, and file them with the regulatory bodies.

Super User: This user can create, update, approve, reject, re-approve, and close reports. The Super User can also generate e-file and file the reports with the regulatory bodies. This user can also perform all the tasks performed by an Analyst.

System/Application Administrator: This user is responsible for managing the static data used in the application, creating application users, mapping users to user groups, and configuring the various parameters used in the application.

Auditor: This user can view regulatory reports and draft PDF.

System Authorizer: This user is responsible for authorizing configurations.

For more information on user roles, see Table 5.

Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR

About this Guide

How this Guide is Organized

The Oracle Financial Services Compliance Regulatory Reporting User Guide US SAR includes the following topics:

Chapter 1, About Compliance Regulatory Reporting, provides an overview of the Oracle Financial Services Compliance Regulatory Reporting application.

Chapter 2, Getting Started, explains the steps to log in to the Oracle Financial Services Compliance Regulatory Reporting application and provides a brief overview of the various users and their roles in the OFS CRR application.

Chapter 3, Creating Reports, describes how to create new reports.

Chapter 4, Searching Reports, explains different search options to filter the reports in the application.

Chapter 5, Managing Report Details, explains how to view various tabs and update the selected report details.

Chapter 6, Acting on Reports, explains various actions that can be performed on the reports.

Chapter 7, Filing Regulatory Reports, describes the process of filing the regulatory reports to the Regulatory Authorities and completing the SAR process.

Where to Find More Information

For additional information about the Oracle Financial Services Compliance Regulatory Reporting application, refer to the following documents:

Oracle Financial Services Compliance Regulatory Reporting Data Model Reference Guide: This guide explains the structures of the entities in the CRR data model and provides in-depth information on managing the data in the OFS CRR application.

Oracle Financial Services Compliance Regulatory Reporting Webservice Guide: This guide explains how and in what format the source business data is provided to the OFS CRR application through a web service for the US SAR report type.

Oracle Financial Services Compliance Regulatory Reporting Installation Guide: This guide provides step-by-step instructions for installing the Oracle Financial Services Compliance Regulatory Reporting application on an existing Oracle Financial Services Enterprise Case Management hosted (OFS ECM) in a Windows environment.

Oracle Financial Services Compliance Regulatory Reporting Administration Guide: This guide describes comprehensive activities to be done by the Administrator in the Oracle Financial Services Compliance Regulatory Reporting application. It also provides information about configuring and maintaining users and static data.

To find additional information about how Oracle Financial Services solves real business problems, see www.oracle.com/financialservices.

viii Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR

www.oracle.com/financialservices

www.oracle.com/financialservices

About this Guide

Conventions Used in this Guide

Table 1 lists the conventions used in this guide.

Table 1. Conventions Used in this Guide

Convention Meaning

Italics Names of books, chapters, and sections as references

Emphasis

Bold Object of an action (menu names, field names, options, button names) in a step-by-step procedure

Commands typed at a prompt

User input

Monospace Directories and subdirectories

File names and extensions

Process names

Code sample, including keywords and variables within text and as separate paragraphs, and user-defined program elements within a text

<Variable> Substitute input value

Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR ix

About this Guide

x Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR

CHAPTER 1 About Compliance Regulatory Reporting

This chapter provides an overview of the Oracle Financial Services Compliance Regulatory Reporting application and includes the following topics:

Introduction

About Oracle Financial Services Compliance Regulatory Reporting Application

Introduction

US SAR stands for the United States Suspicious Activity Report. As a part of regulations and compliances, a Financial Services Organization has to perform appropriate analysis and report any suspicious activities that may lead to fraud and money laundering to the regulatory authorities. These regulatory bodies are responsible for safeguarding financial institutions and consumers from abuse, providing transparency in the country's financial system, enhancing that country's security, and deterring and detecting criminal activity in the financial system.

Financial institutions are required to provide data regarding suspicious activities to their geographic region's regulatory authority. This data is delivered to the regulatory bodies through regulatory reports. These reports, depending on the regulatory geographic region, can be delivered in a paper format or in an electronic format.

About Oracle Financial Services Compliance Regulatory Reporting Application

The Oracle Financial Services Compliance Regulatory Reporting (OFS CRR) application supports the management, delivery, and resolution of regulatory reports across multiple geographic regions and across multiple financial lines of business. As there are several differences in requirements for paper-based formats versus electronic formats, between different geographic regions, and the data elements that are required on these reports. The approach to satisfy the end goal is to provide a Compliance Regulatory Reporting a framework that is configured to support paper-based and electronic formats for different geographic regions and to generate and file different types of reports.The Oracle Financial Services Compliance Regulatory Reporting application is integrated with the Oracle Financial Services Enterprise Case Management to allow users to generate reports automatically populated with information relevant to an investigation for any report filed.

The OFS CRR application helps in generating e-file in a .xml format according to specifications described in FinCEN Suspicious Activity Report (FinCEN SAR) Electronic Filing Requirements. After successfully e-filing, you can download the acknowledgment (XML) file from the BSA E-Filing System and upload the acknowledgment into OFS CRR, thereby completing the SAR process.

Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR 1

WorkrflowChapter 1–About Regulatory Reporting

Workrflow

The life cycle of the Compliance Regulatory Reports is described in the following workflow diagram.

Figure 1. Regulatory Reporting Workflow

2 Oracle Financial Services Compliance Regulatory Reporting User Guide USSAR


A report is created in the OFS CRR application either from OFS ECM or within the application. When a report is created in the application, the report details are entered and then submitted for approval. An authorized user validates the report details and either approves, rejects, or closes the report.

If the report is approved, an e-file is generated for the report. The generated e-file is submitted with the FinCEN’s BSA E-Filing System. The e-file is validated and an acknowledgment (XML file) is generated. The acknowledgment file is then uploaded into the OFS CRR application, thereby completing the SAR process. The status of the report changes to Filed. The Filed status is the final status given to a SAR that has been submitted to and processed by FinCEN.

If the report is rejected, then you must re-work on the report and submit the report for approval or you can close the report. If you close the report after being rejected, then the status of the report changes to closed. But if you choose to rework on the report, then the status of the report changes to request for approval, which must again be validated and approved by authorized users. This process continues until the report is approved or closed.

If there are any changes done to an approved report, the status of the report changes to Re-approve required, which must be validated by authorized users.

If a user determines that an SAR report should not be filed they can close it. The Closed status removes it from the work queue and helps to distinguish it from those in a Filed status. If the report is closed, the report details cannot be edited and the report is in View mode.


Every report generated in the OFS CRR application can have various statuses.

Table 2 describes the action taken on the report and the resulting change in the report status.

The report has a life cycle, which begins with the Open status and ends when it is Closed/Filed.

Table 2. Report Status

Action TakenResulting Report Status

A report is auto-generated or created manually. Open

An authorized user has updated and submitted the report details for approval. Request for Approval

An authorized user validates the report details and has taken approved action. The user can now file the report with the regulatory authority.

Approved

An authorized user has edited the approved report details. The user must take Re-approve action on the report to run the report validations and ensure that the editing did not introduce any report validation errors.

Re-Approve Required

An authorized user has taken close action on the report. Closed

An authorized user has taken a reject action on the report. Rejected

An authorized user has generated an e-file for an approved report. E-file Generated

An authorized user has rejected the generated e-file from filing to the regulatory authorities.

Rejected from E-file

An authorized user has filed the regulatory report to the regulatory authorities. Filed



Table 3 explains the possible actions the users can take in different statuses.

The report is in View mode in the following statuses:

Closed

E-file Generated

Filed

You cannot edit report details when the report is in View mode. All action buttons are hidden in View mode.

Table 4 explains the status in which the report details are editable by OFS CRR users.

Table 3. Actions Performed by various Users in Different Status

Status Possible Action Resulting Status User Roles

Open Request For Approval

Requested for Approval Analyst/Super User

Close Closed Analyst/Supervisor/Super User

Approve Approved Supervisor/Super User

Request for Approval Approve Approved Supervisor/Super User

Reject Rejected Supervisor

Close Closed Supervisor/Super User

Approved Re approve Approved Supervisor/Admin/Super User

Reject Rejected Admin/Super User

Close Closed Admin/Super User

Generate E- File E-File Generated Admin/Super User

Rejected Request For Approval

Requested for Approval Analyst/Super User



E-File Generated File Filed Admin/Super User

Reject E-File Rejected Admin/Super User

Rejected from E-File Request For Approval

Requested for Approval Analyst /Super User



RE-Approve Required Re-approve Approved Supervisor/Admin/Super User

Table 4. Status in which report details are editable by different users

Report Status

Roles

Analyst SupervisorSuper User Admin user

Open X X X

Request for Approval X X

Approved X X X



To view report details, click the report name in the List of Regulatory Reports. If the report is already opened by another user, the report locked message displays.

Re-approve Required X X X

Closed X X

Rejected X X X

E-file Generated

Rejected from E-file X X X

Filed

Table 4. Status in which report details are editable by different users

Report Status

Roles

Analyst SupervisorSuper User Admin user




CHAPTER 2 Getting Started

This chapter explains the steps to log in to the OFS CRR application and provides a brief overview of the various users and their roles in the OFS CRR application.

This chapter explains the following topics:

Overview

User Access

Logging in to Compliance Regulatory Reporting

Overview

Following are the user roles defined in the OFS CRR application:

Analyst: This user can access Regulatory Reports, create new reports, edit and view report details, add comments to the report, request for approval, cancel the filing of reports from Open and Reopen status, reopen canceled reports, and also view/save the final report.

Supervisor: This user can access Regulatory Reports, create new reports, edit and view report details, add comments to the report. This user can also take actions on the reports such as approve, rework, and cancel the filing of reports. This user can also submit the reports.

Super user: This user can access Regulatory Reports, create new reports, edit and view report details, add comments to the report. This user can also take actions on the reports such as approve, rework, and cancel the filing of reports. This user can also generate E File and then submit the E File.

Admin User: This user can access File Regulatory Reports Menu, this user can generate E File and then submit the E File.

System Administrator: This user is responsible for managing the static data used in the application, creating application users, mapping users to user groups, and configuring the various parameters used in the application.

Auditor: This user can view and add comments to the report.

This chapter explains the tasks that can be performed by the users of the OFS CRR application.

This chapter also explains the steps to log in to the OFS CRR application. It explains the components of the Regulatory Reports List and the Regulatory Report Details, as well as the functions of the action buttons in the Regulatory Reports List and Regulatory Report Details.


User AccessChapter 2–Getting Started

User Access

The following table explains the tasks that can be performed by various users in the OFS CRR application.

Table 5. User Roles and Functions

Function

Roles

Analyst Supervisor AdminSuper User Sys Admin Auditor

View Report X X X X X

Edit Report X X X

Create a new Report X X X

Request for Approval X X

Approve Report X X

Reject Report X X

Close Report X X X

Edit Request for Approval Report X X

Edit Approved Report X X X

Re-Approve Reports X X X

Reject Approved Reports X X

Close Approved Reports X X

Add RR Comments X X X X

Generate Draft PDF X X X X

View Final PDF X X X X X

Edit E-File X X

Reject E-File X X

Generate E-File X X

File E-File X X

View / Edit Configuration X


Logging in to Compliance Regulatory ReportingChapter 2–Getting Started

Logging in to Compliance Regulatory Reporting

To access the Compliance Regulatory Reporting application, follow these steps:

1. Enter the URL into your browser using the following format:

<scheme/ protocol>://<ip address/ hostname>:<port>/<context-name>/login.jsp

The OFSAA Login page is displayed.

Figure 2. Login Page

2. Select the Language from the Language drop-down list.

3. Enter your User ID and Password.

4. Click Login. The OFSAA Application page is displayed.

5. Click Financial Services Regulatory Reporting.

6. Go to the Navigation List. Click Compliance Regulatory Reporting in LHS. The Regulatory Reporting menu displays the Regulatory Reports SAR primary menu.

7. Hover over Regulatory Reports SAR primary menu.

The Regulatory Reports SAR menu displays the following sub-menus:

Regulatory Reports

File Regulatory Reports

Create a New Regulatory Report

Note: Regulatory Reports SAR is the primary menu. Regulatory Reports, File Regulatory Reports, and Create a New Regulatory Report are the secondary menus. In addition, the User Attributes menu displays. This menu allows you to map and maintain the security attributes for each user role.

The following table provides an overview of the menus that are accessible to the OFS CRR users.


Logging in to Compliance Regulatory ReportingChapter 2–Getting Started

Table 6. Menus Accessible to OFS CRR Users

Roles

Menus Analyst Supervisor Super User Admin user Auditor

Regulatory Reports X X X X X

File Regulatory Reports X X X

Create New Regulatory Report

X X X

User Attributes X X


Creating STR from OFSECMChapter 3–Creating Reports

CHAPTER 3 Creating Reports

This chapter provides step-by-step instructions to create new reports in the OFSCRR application.

You can create a new SAR when you identify a suspicious transaction and want to report it to the Regulator. You

can manually create a new report from within OFSCRR or through OFSECM.

This chapter covers the following topics:

Creating STR from OFSECM

Creating a New Report from OFSCRR Application

Creating STR from OFSECM

When a user with appropriate access permission performs the Generate CA STR action on a case from OFSECM application, the data is passed to the OFSCRR application through the web service and a new STR is created in OFSCRR.

For more information, see Taking Resolution Action section in the ECM User Guide.

Creating a New Report from OFSCRR Application

Analyst, Supervisor, Super User, and Admin user can create new regulatory reports.

To create a new regulatory report, follow these steps:

1. From the Regulatory Reporting menu, hover over Regulatory Reports – SAR and click Create New Regulatory Report. The Create New Regulatory Report page displays.

Figure 3. Create a New Regulatory Report Page

2. Enter the required information.


https://docs.oracle.com/cd/E91493_01/homepage.htm

Creating a New Report from OFSCRR ApplicationChapter 3–Creating Reports

Table 7 explains the fields in the Create New Report page.

3. Click Save. The following message displays: Add Operation Successful.

4. Click OK. The Create New Report page displays.

Note: To exit the Create New Report page, select Regulatory Reports or File Regulatory Reports from the Regulatory Reports-SAR primary menu.

Table 7. Fields in Create New Report Page

Field Name Description

Report Name Enter the report name.

Note: The report name can have a maximum of 60 characters. If you enter more than 60 characters for report name, the following message displays: Number of characters exceeded.

Corrected Report Select whether the report is corrected or not from the drop-down list.The Corrected report is a term used by FinCEN to identify a report that was previously submitted but is being resubmitted with modifications to correct the earlier provided information. A corrected SAR must reference the previously submitted SAR by virtue of the BSA ID of the previous SAR.

Report Type Displays the report type.

Note: The application supports the generation of US SAR, hence the value for report type has defaulted to SAR.

Domain 1 Select Domain 1 from the drop-down list.Domain 1 through Domain 5 fields allows a user to associate security attributes to the case being created, which can be used to control access to the case. For example, OFS CRR requires that Domain 1 always be associated with a business Jurisdiction. The specific jurisdiction values that will be available in the drop-down are defined at the firm level. Once jurisdiction is assigned to a newly created report, only users with access to that jurisdiction will be able to see and work on the report.

Domain 2 Select Domain 2 from the drop-down list.Domain 2 through Domain 5 can be associated with other attributes such as business domains or organizations. When assigned to a report at creation, these can also be used to control access.

For information on how your firm is using Domain 2 through Domain 5, contact your system administrator.

Domain 3 Select Domain 3 from the drop-down list.



Internal Control/File Number Enter the internal control/file number.

Note: This will be the Case ID from OFSECM If the report is auto-generated from OFSECM. For manually created reports, clients will have the option to provide an internal control/file number to the new report.

Created On Displays the date and time of report creation.

Created By Displays the user who created the report.


Chapter 4–Searching Reports

CHAPTER 4 Searching Reports

The Regulatory Reporting Search and List page enables you to filter the list of reports that you want to view, analyze, and take action.

The Regulatory Reporting List page allows you to search the report list and details.

To search regulatory reports using search components, follow these steps:

1. From the Regulatory Reporting menu, hover over Regulatory Reports - SAR and click Regulatory Reports. The List of Regulatory Reports display.

Figure 4. List of Regulatory Reports

2. Enter the search components in the RR Search fields.

Table 8 provides a list of search components that display in the RR search bar.

Table 8. Components of RR Search Bar

Criteria Description

Report Name Enter the report name to display the report with the name as specified in the search criteria.

Note: This field supports a wildcard search, using the % as a wildcard indicator and allows you to enter a maximum of 61 characters.

Jurisdiction Select the jurisdiction from the drop-down list to display reports mapped to the selected jurisdiction.Every report is associated with jurisdiction, whether created manually or from a case (OFSECM). When a SAR is created from a case, the SAR inherits the jurisdiction that was associated with a case. When a SAR is created manually, Domain 1 field on the create SAR screen displays the list of available jurisdictions.

Each user has access to a set of jurisdictions and each SAR is associated with a single jurisdiction. A user has access to any report where the user's jurisdictions intersect with the SAR's jurisdiction.

Note: Jurisdiction is a mandatory field for the creation of SAR whether manually or from the case.


Chapter 4–Searching Reports

3. Click Go. The relevant search list displays.

Note: If you click Reset, all search fields are set to default values (blank).

Status Select the report status from the drop-down list to display reports in the selected status.

The Status search criteria are pre-selected with a list of statuses that is configurable. By default, the application displays the following statuses: Open

Request for Approval

Approved

Rejected

Rejected from Efile

Case ID Enter the Case ID to display the reports with the selected Case ID.

Note: Case ID is the case that has triggered the creation of a report in the OFSCRR application. This field supports a wildcard search, use % as a wildcard indicator.

For more information on how reports are auto-generated from OFSECM, see Taking Resolution Action section in the ECM User Guide.

Subject Name Enter the subject name to display reports with the selected subject name.

Note: This field supports a wildcard search, use % as a wildcard indicator.

SSN/EIN/TIN Enter the SSN/EIN/TIN (Social Security Number / Employer Identification Number / Taxpayer ID Number) to display reports with the selected SSN/EIN/TIN.

Note: This field supports a wildcard search, use % as a wildcard indicator.

Created By (drop-down list)

Select the name of the user who created the regulatory report from the drop-down list to display reports created by the selected user.The Created By drop-down displays ten users at a time.

BSA ID Enter the BSA ID of the report to display reports with the BSA ID as specified.

BSA stands for Bank Secrecy Act Identifier. The BSA ID is a distinct value assigned to each SAR submitted to FinCEN. The FinCEN will use this ID to track a SAR as well as any corrections or amendments to that SAR. Note: This field can have a maximum of 25 characters.

Created Date From Select the created date from the calendar to display reports created from the selected date.

Note: Created Date From and To can be used independently. When both are used it returns only those SARs within the selected dates inclusive of the selected dates. When only From is used, it returns reports with a create date greater than or equal to the selected From date.

Created Date To From the calendar to display reports created until this date, select the date from Created Date To.

Report Format Version

Select the report format version from the drop-down list. This denotes the final report format version that is used for this Report. It can be one of the following:1) 1.1 (TXT/CSV)2) 1.2 (XML)

Due Date From Select the due date from the calendar to display reports due from the selected date.

Due Date To From the calendar to display reports due until this date, select the Due Date To.

Table 8. Components of RR Search Bar

Criteria Description


https://docs.oracle.com/cd/E91493_01/homepage.htm

Components of Regulatory Reports ListChapter 4–Searching Reports

Components of Regulatory Reports List

The List of Regulatory Reports displays the summary of all reports generated using the OFS CRR application and includes the following components:

Search Bar

List Header

Action Buttons

Column Headings

List Matrix

Search Bar

The RR Search bar allows you to search and view the report details. For more information on searching reports, see Searching Regulatory Reports.

List Header

The header contains the title Regulatory Reports and displays the total number of reports. The header also provides pagination with forward and backward arrows for advancing page by page or for advancing to the first or last page.

Action Buttons

The system provides the action button that appears above the Regulatory Report List matrix:

Export to Excel: Allows you to export the report details into an Excel template. For more information on Exporting to Excel, see Exporting to Excel.

Column Headings

Column headings provide labels that tell you what kind of information displays in the columns. Most column headings in the RR List matrix can be sorted. Right-click on the column heading to sort the display.

The following sorting options display:

Ascending

Descending

Clear Sort

Field Chooser

Select the relevant sorting option. The application refreshes the list and re-sorts the list based on the selection you have made.

List Matrix

The RR List matrix displays the summary of all reports.



Table 9 provides a list of columns and their descriptions in the RR List matrix:

Exporting to Excel

The List of Regulatory Reports allows you to export the report details into an Excel template.

To export the report details into an Excel template, follow these steps:

1. Go to the Regulatory Reports List page.

2. Click Export to Excel. The Export Properties dialog box displays.

Note: All the reports in the Regulatory Reports List are exported into an Excel template. You cannot export individual reports into Excel.

Table 9. Columns in RR List Matrix

Column Heading Description

Report name Displays the report name.

Report Type Displays the report type.

Note: SAR is the default value for the report type.

Jurisdiction Displays the jurisdiction to which the report is mapped.

Note: Jurisdiction over a territory relates to the geographic area over which a court has the authority to decide cases.

The following are the values for Jurisdiction: CA

SA

US

INDA

AMEA

SGI

SGO

ENT

Case ID Displays the Cased ID that triggered the creation of the report in OFS CRR from OFSECM. This field displays as blank for the manually created report.

Subject Name Displays the subject name.

Number of Subjects Displays the number of subjects involved in the suspicious transaction

Created Date Displays the date of report creation.

Created By Displays the user who created the report.

E-File reference Displays the e-file reference number.

Acknowledgment Date Displays the date on which the acknowledgment was received.

Status Displays the status of the report.

BSA ID Displays the BSA ID generated for the report.BSA stands for Bank Secrecy Act Identifier. The BSA ID is a distinct value assigned to each SAR submitted to FinCEN. The FinCEN will use this ID to track a SAR as well as any corrections or amendments to that SAR.

Draft Report This column displays a PDF icon. Click the PDF icon to view the report details in PDF.For more information on the Draft report, see Viewing the Draft Report.



3. Set Document Type as Excel and select Form Data/Grid Data as Grid Data.

4. Click Export in the Export Properties dialog box.

When processing is complete, the data displays in an IE window with a dialog box.

5. Click Save from the dialog box. The Save As dialog box displays.

6. Select a directory location where you want to save the file.

7. Enter a new name in the File Name field or the application automatically generates a name for the file to accept.

8. Click Save. The application saves your file to the specified location.

Note: Open the file in Microsoft Excel to edit as needed.

Viewing the Draft Report

The Regulatory Report Details allows Analyst, Supervisor, Super user, and Admin User to view the draft report. You can view the draft PDF in any status.

To view the draft report, follow these steps:

1. Go to the Regulatory Reports List page.

2. Click the Report name to view the report details.

3. Click the Draft Report. The File Download box displays.

Note: You can also view the report details in PDF by clicking the PDF icon in the Draft Report column in RR List Matrix.

4. Click Open to view the report details in a PDF. Click Save to save the PDF in your local system. Click Cancel to close the File Download box.

The following figure is an illustration of the initial pages of the draft report that you can view when you open the report.

Note: Old PDF is displayed for the old reports and new PDF is displayed for the newly submitted reports.



Figure 5. Draft Report (Sample)


Components of Regulatory Report DetailsChapter 5–Managing Report Details

CHAPTER 5 Managing Report Details

The Regulatory Report Details page allows users with appropriate rights to enter or update report information. For more information on the user roles, see Table 5.

You must enter the report details in the tabs present in the Regulatory Report Details.

The following are the tabs in the Regulatory Report Details:

Components of Regulatory Report Details

Managing Filing Institution Information

Managing Financial Institution Where Activity Occurred

Managing Suspicious Activity Information

Managing Subject Information

Managing Documents

Adding Narrative

Viewing Audit

Note: All the fields in the Regulatory Report Details tabs have some numbers preceding the field labels. These numbers correspond to the numbers of the fields as they appear in FinCEN's SAR PDF that is used for discrete filing.

Components of Regulatory Report Details

This section provides the complete details on the components of Regulatory Report Details page. Click the report name in the List of Regulatory Reports to view the Report Details.

The following are the components of the Regulatory Report Details:

Action Buttons

Report Context

Report Details Tabs



Action Buttons

The action buttons are displayed based on your role and the current status of the report.

The following are the action buttons in the Regulatory Report Details:

Add Comments: This button displays in the Regulatory Report Details in all the report status. It allows you to add comments to the report. For more information about adding comments, see Adding Comments to Report.

Draft Report: This button displays in all the report status. It allows you to view the report details in a PDF. For more information about the draft report, see Viewing the Draft Report.

Request For Approval: This button displays in the Regulatory Report Details when the report is in Open, Rejected, or Rejected from e-file status. It allows you to submit a report for approval. For more information about requesting for approval, see Requesting for Approval.

Approve: This button displays in the Regulatory Report Details when the report is in Request for Approval status for the Supervisor user and in Open, Rejected, Rejected from e-file, Request for Approval status for Super User. It allows you to approve reports. For more information about approving reports, see Approving Reports.

Re-approve: This button displays in the Regulatory Report Details when the report is in Approved or Re-approve Required status for the Supervisor and Super User. It allows you to re-approve reports. For more information about re-approving reports, see Re-Approving Reports.

Reject: This button displays in the Regulatory Report Details when the report is in Request for Approval, Approved, and E-file generated status for the Supervisor and Super User. It allows you to reject reports. For more information about rejecting reports, see Rejecting Reports.

Close: This button displays in the Regulatory Report Details when the report is in Request for Approval status for the Supervisor user and in Open, Approved, Rejected, Rejected from e-file, Request for Approval status for the Super user. For more information about rejecting reports, see Closing Reports

This button displays in the Regulatory Report Details when the report is in Open, Rejected from e-file, and Rejected status for users mapped to the role of Analyst.

For more information about rejecting reports, see Closing Reports.

Setting Due Date: This button allows you to set due date for reports. For more information on setting due date, see Setting Due Date for Reports. For more information on the user roles, see Table 5.

Report Context

The Report Context displays information about the report and is non-editable. It contains minimize and maximize buttons that allow you to expand and collapse the details in the Report Context.

Note: The BSA ID (Bank Secrecy Act Identifier) is generated when the acknowledgment file (XML file) is uploaded into the OFS CRR application. After the XML file is uploaded into the OFS CRR application, the BSA ID field in the Report Context is auto-updated.



Figure 6. Report Context

Report Details Tabs

The Regulatory Report Details displays the following tabs:

Filing Institution Information

Fin Inst Where Activity Occurred

Suspicious Activity Information

Subject Information

Managing Documents

Narrative

Audit

Adding Comments to Report

The Regulatory Report Details allows users mapped to the role of Analyst, Supervisor, Super User, and Admin User to add comments to a report. You can add comments to a report when the report is in any status.

To add comments to a report, follow these steps:

1. Go to the List of Regulatory Reports page.

2. Click the Report name to view the report details.

3. Click Add Comments. The Action Type: Add Comments pop-up window displays.

Figure 7. Action Type: Add Comments

4. Enter the comments in the Action Type: Add Comments pop-up window.



Note: The comments box in the Action Type: Add Comments pop-up window allows you to enter a maximum of 255 characters. As you begin entering the comments, the word count displayed below the comments box keeps decreasing. If you try to enter more than 255 characters in the Comments box, the following message displays: Number of characters exceeded.


Note: Click Clear to clear the data in the Action Type: Add Comments pop-up window and click Close to close the Action Type: Add Comments pop-up window.

6. Click OK. The Action Type: Add Comments pop-up window closes and displays the Regulatory Report Details.

Note: The Regulatory Report Comments grid in the Audit tab displays the comments added to the report

If you click Save, without entering the comments in the Action Type: Add Comments pop-up window, the follow-ing message displays: Mandatory fields are not entered.

Setting Due Date for Reports

Set Due Date action allows authorized users to set a due date or modify an existing due date of an STR.

The CRR application allows you to set the due date for SAR. The due date is set based on the date SAR creation request is sent from the OFS ECM to OFS CRR. This is the period during which the SAR must be filed with FinCEN. The Due date is configurable and by default, it is set to 30 days from the date SAR creation request is sent from the OFS ECM to OFS CRR. It includes only business days excluding holidays and weekends. But, this period is configurable.

There are two roles defined for Set Due Date functionality.

Due Date with View and Edit: Users mapped to this role can view, set, and edit due date for reports.

Due Date with View: Users mapped to this role can only view the due date for reports.

Note: The roles are mapped based on the configurations in the Application Parameters table.

The following table explains the configuration for these roles:

Table 10. Set Due Date Functionality Configuration

Set Due Date Action as per Report Status

Due Date With View & Edit Due Date View Only

Take Set Due Date Action View Due Date

Take ‘Set Due Date’ Action View Due Date

Open X X X

Requested for Approval X X X

Rejected X X X

Rejected from E-File X X X

Approved X X

Closed

E-File Generated X X

Filed

Reapprove Required X X


Managing Filing Institution InformationChapter 5–Managing Report Details

To set a due date of an STR, follow these steps:

1. Navigate to the Report Details page of a report.

2. Click Set Due Date. The Set Due Date Action window is displayed.

Figure 8. Set Due Date Window

3. To set a due date, select a date from the calendar icon.

Note: This is a mandatory field.

4. Enter the comments in the Set Due Date action pop-up window.

Note: The comments box in the Set Due Date action pop-up window allows entering a maximum of 255 characters. As you begin entering the comments, the word count displayed below the comments box keeps decreasing. If you try to enter more than 255 characters in the Comments box, the following message is dis-played: Number of characters exceeded.

If you click Save without entering the Set Due Date and Comments, in the Set Due Date Action pop-up win-dow, the following error message is displayed: Mandatory fields are not entered.

5. Click Save. The following message is displayed: Update Operation Successful.

6. Click OK. The Report Details page is displayed.

Note: The Actions section in the Audit tab tracks both the actions and the comments entered while performing the Set Due Date action.

Managing Filing Institution Information

The Filing Institution Information tab is the default tab for the Regulatory Report Details page.

This tab displays the following sections:

Reporting Information


Note: This tab has a single Validate button that checks the information present in both the Reporting Information container and the Filing Institution Information container.

If you click on request for approval and if there is an error in the details of the Filing Institution Information tab, then the application displays the following message: Please Validate Filing Institution Information.

Reporting Information

This container displays information on the type of report filing.



The following are the possible types of filing:

Initial Report: These reports are submitted to the FinCEN for the first time.

Correct/Amend Prior Report: These reports were previously submitted but are being resubmitted with modifications to correct earlier provided information. A corrected SAR must refer to the previously submitted SAR by virtue of the BSA ID of the previous SAR.

Continuing Activity Report: These reports are reporting on additional and continuing behavior as related to one or more previously submitted SARs on the same subjects. If a SAR is designated as a Continuing Activity report then the user must provide the Prior BSA Number of the previously filed report.

Joint Report: It is a suspicious activity report that is being filed by the current institution jointly in cooperation with another financial institution.

Filing Institution Note to FinCEN: This field displays the notes that the user wants to mention to FinCEN.

Validations

If you have selected the report as Joint Report and have not selected Initial Report or Correct/Amend Prior Report or Continuing Activity Report, then the application displays the following message: Select at least one of the Initial Report, Correct/Amend Prior Report or Continuing Activity Report.


This section provides details about the filing institution which is reporting the suspicious activity. There can be only one filing institution reporting the suspicious activity.

This section covers the following topics:

Components of Filing Institution Information Tab

Entering Filing Institution Information

Editing Filing Institution Information



Components of Filing Institution Information Tab

Figure 9. Filing Institution Information Tab - Edit Mode

The following table explains the fields in the Filing Institution Information Tab.

Table 11. Fields in the Filing Institution Information Tab


Filing Institution Name Select the financial institution name from the drop-down list. All the related fields displaying the filing financial institution details get auto-populated on the selection of Filing Institution name and will display as not editable.

Note: A firm may have one or more than one legal entity under which they file regulatory reports. The values available in the Filing Institution Name drop-down are defined by each client during installation. The system administrator enters the data into the database where it can be selected by the user on the User Interface. This is handled during installation by the excel upload of data. For more information on Excel Upload, see Oracle Financial Services Regulatory Reporting Administration Guide.

If you have not given any value for Filing Institution Name, then the application displays the following message: Filing institution should be present.

Primary Federal Regulator Displays the primary federal regulator.

TIN Type Displays the TIN (Taxpayer ID Number) type.

TIN Displays the TIN (Taxpayer ID Number) number.

Type of Financial Institution Displays the type of financial institution.

Other Description Displays any additional information about the type of financial institution.

Type of Securities and Futures Institution Displays the type of securities and futures institution.

Other Description Displays any additional information about the type of securities and futures institution.

Financial Institution ID Displays the ID of the financial institution involved in suspicious activity.


https://docs.oracle.com/cd/E91259_01/technicalguides.htm





Financial Institution Identification Type Displays the financial institution identification type.

Alternate Name Displays the alternate name of the financial institution.

Address Displays the address of the financial institution.

City Displays the city where the financial institution is located.

State Displays the state where the financial institution is located.

Postal Code Displays the postal code of the financial institution.

Country Displays the country where the financial institution is located.

Filing Institute Contact Office Displays the filing institution contact office name.

Filing Inst Contact Number Displays the filing institution contact number.

Extension Displays the extension of the filing institution.

Note: The fields Filing Inst Contact Office, Filing Inst Contact Number, and Extension are configurable. That is the values in these fields are auto-populated, which can be edited if required.

Internal Control/File Number Enter the internal control/file number.

Note: This will be the Case ID from OFSECM if the reports are auto-generated from OFSECM. For manually created reports, clients will have the option to provide an internal control/file number to the new report.

Prior Report Doc Number Enter the prior report document number.

Prior Report Doc Number refers to the unique identifier assigned to a report that has been submitted to the regulatory body. This field is applicable when filing a continuing activity, corrected, or supplemental report on a previously submitted report.

Select unknown check box if the prior report document number is unknown.

Validations:If Prior Report Doc Number is not entered for Corrected, Supplemental, and Continuing Reports nor if the Unknown check box field has been marked, the application displays the following message: Prior Report Doc Number in Financial Institution Info Tab is mandatory for Corrected, Supplemental or Continuing Reports. Please enter the value or check Unknown if the value is not known.

If you have entered one or more prohibited words in fields Filling Institution Contact Office and Prior Report Doc Number, then the application displays the following message: You are not allowed to enter prohibited words in Filling Institution Contact Office and Prior Report Doc Number. Following words are prohibited: AKA, COMPUTER GENERATED, CUSTOMER, DBA, NON CUSTOMER, NONE, NOT APPLICABLE, OTHER, SAME, SAME AS ABOVE, SEE ABOVE, SEE NARRATIVE, SIGNATURE CARD, T/A, UNKNOWN, VARIOUS, XX.

Table 11. Fields in the Filing Institution Information Tab



Managing Financial Institution Where Activity OccurredChapter 5–Managing Report Details

Note: If you have not entered the values for mandatory fields such as Filing Institution Name, Contact Office, and Contact Number, the application displays the following message: You have not given values for some mandatory fields. Make sure you enter values for mandatory details i.e. Filing Institution Name, Contact Office and Contact Number.

Entering Filing Institution Information

To enter details about the filing institution information, follow these steps:

1. Go to the Regulatory Report Details page.

2. Click Filing Institution Information tab. The Filing Institution details display.

3. Enter the required information. For more information on the fields in Filing Institution Information tab, refer to Table 11.

4. Click Save. The following message displays: Update Operation Successful.

5. Click OK. The Filing Institution Information page displays.

Note: If you click Reset, the unsaved data is reset to the last saved value in the Filing Institution Information page.

Editing Filing Institution Information

To edit details about the filing institution information, follow these steps:


2. Click Filing Institution Information tab. The Filing Institution details display.

3. Modify the required information in the fields in the Filing Institution Information tab.


5. Click OK. The Filing Institution Information page displays.

Note: You cannot edit the report details when the report is in View mode. Action buttons, such as Save and Reset, are hidden in the Filing Institution Information tab when the report is in View mode.

Managing Financial Institution Where Activity Occurred


Adding Financial Institution Where Activity Occurred

Editing Financial Institution Where Activity Occurred Details

Deleting Financial Institution Where Activity Occurred

The Financial Institution Where Activity Occurred tab captures the data of the financial institution where the suspicious activity has occurred and also the associated branches of the financial institution that are involved in the suspicious activity.

Select the Fin Inst Where Activity Occurred tab. The page refreshes and displays the Financial Institution Where Activity Occurred grid. The Financial Institution details of the first record is auto-populated down the grid. The auto-populated pane has a left-hand side (LHS) menu with Financial Institution Details and Branch Details options.



This page allows you to add, edit or delete details about the financial institution where the activity occurred and branch details.

Note: The Internal Control/File Number field displays in the Financial Institution Where Activity Occurred tab only in View mode. Editing or entering a value for this field must be done from the Financial Institution Information tab.

The Validate button in this tab checks for any missing mandatory information.

The following table explains the columns in Financial Institution Where Activity Occurred grid.

Adding Financial Institution Where Activity Occurred

To add information about the financial institution where the activity occurred, follow these steps:


2. Click the Fin Inst Where Activity Occurred tab.

3. Click Add in the Financial Institution Where Activity Occurred grid. The Financial Institution Where Activity Occurred pop-up window displays.

Figure 10. Financial Institution Where Activity Occurred Pop-up Window

4. Enter the required information. For more information on the fields in the Financial Institution Where Activity Occurred pop-up window, see Table 13.


6. Click OK.

Table 12. Columns in Financial Institution Where Activity Occurred Grid


Financial Institution Name Displays the name of the financial institution.

Type Displays the type of financial institution.


State Displays the state in which the institution involved in the suspicious activity is located.

Country Displays the country in which the institution involved in the suspicious activity is located.

Financial Institution Code Displays the financial institution code assigned to the institution involved in the suspicious activity.



7. Click Close to close the Financial Institution Where Activity Occurred pop-up window.

Note: If you click Clear, all the fields are set to default values that are blank.

Components of Financial Institution Where Activity Occurred Pop-up Window

The following table explains the fields in the Financial Institution Where Activity Occurred pop-up window.

Table 13. Fields in Financial Institution Where Activity Occurred


Loss to Financial Institution Enter the loss incurred during the suspicious activity.

Role Enter the role of the financial institution in suspicious activity.

Note: These are values as defined by FinCEN. Role refers to the role played by the institution in the suspicious activity when certain product types or instruments/payment mechanisms were used in the activity.

The Role is a drop-down list with the following options:

Paying Location: The financial institution is considered to have played the role of Paying Location if the customer received payment from the institution for the products or instruments recorded on the SAR.

Selling Location: The financial institution is considered to have played the role of Selling Location if the customer purchased products or instruments from the institution.

Both A and B: You must select Both A and B if the financial institution was both a paying and selling location for the products or instruments recorded on the SAR.

Legal name of the Financial Institution

Select the legal name of the financial institution from the drop-down list.

Note: All other information except the loss of financial institution and role gets auto-populated on the selection of this field and is not editable.

Alternate Name Displays the alternate name of the financial institution.

Type of Financial Institution Displays the type of financial institution.

Other Description Displays any additional information about the type of financial institution.

Financial Institution Code Displays the financial institution code.


Note: Primary Federal Regulator is the state or federal regulatory agency that is the primary supervising entity of a financial institution.

Financial Institution ID Type Displays the financial institution ID type.

Financial Institution ID Number Displays the financial institution ID number.

TIN Displays the TIN (Taxpayer ID Number) number.

TIN Type Displays the TIN (Taxpayer ID Number) type.

Type of Gaming Institute Displays the type of gaming institute.

Other Description Displays any additional information about the type of gaming institute.

Type of Securities and Futures Institution

Displays the type of securities and futures institution.

Other Description Displays any additional information about the type of securities and futures institution.

Address Displays the address of the financial institution where the suspicious activity occurred.



Editing Financial Institution Where Activity Occurred Details

To edit details about the financial institution where the activity occurred, follow these steps:


2. Click Fin Inst Where Activity Occurred tab. The Financial Institution Where Activity Occurred grid displays.

3. Select the check box of the Financial Institution Where Activity Occurred record you want to modify.

4. Click Edit. The Financial Institution Where Activity Occurred pop-up window displays.

5. Modify the necessary information.


7. Click OK. The Financial Institution Where Activity Occurred pop-up window displays.

Note: Click Close in the Financial Institution Where Activity Occurred pop-up window. The changes made are displayed in the Financial Institution Where Activity Occurred grid.

Deleting Financial Institution Where Activity Occurred

To delete details about the Financial Institution Where Activity Occurred, follow these steps:


2. Click Fin Inst Where Activity Occurred tab. The Financial Institution Where Activity Occurred grid lists all the details of the financial institution where the activity occurred.

3. Select the check box of the financial institution you want to delete.

4. Click Delete. The following message displays: Are you sure you want to delete this record?

5. Click OK. The following message displays: Delete Operation Successful.

6. Click OK. The Financial Institution Where Activity Occurred grid displays.

Managing Branch Details

The Branch Details LHS menu displays the branch data of the currently selected financial institution involved in suspicious activity.


Adding Branch Details

Editing Branch Details

City Displays the City in which the institution involved in the suspicious activity is located.

State Displays the State in which the institution involved in the suspicious activity is located.

Postal Code Displays the postal code of the financial institution.

Country Displays the Country in which the institution involved in the suspicious activity is located.

Table 13. Fields in Financial Institution Where Activity Occurred




Deleting Branch Details

The following table explains the columns in the Branch Details grid.

Figure 11. Branch Details - Edit Mode

If there is no branch involved in the suspicious activity, check Unknown in the Branch Information grid. It is mandatory to either select the Unknown check box or add branch details to the report.

Table 14. Columns in Branch Details Grid


Branch Code Displays the branch code.

Address Displays the address details of the branch.

City Displays the city where the branch is located.

State Displays the state where the branch is located.

Postal Code Displays the zip code where the branch is located.

Country Displays the country where the branch is located.

RSSD ID Number Displays the RSSD number of the branch.

Note: The RSSD ID number is a unique identifying number assigned by the Federal Reserve for all financial institutions, main offices, and branches. RSSD specifically refers to the assigned identifier for Research, Statistics, Supervision, and Discount identification numbers.

Branch Role Displays the role of the financial institution branch in suspicious activity.

Note: These are values as defined by FinCEN. Role refers to the role played by the institution in the suspicious activity when certain product types or instruments/payment mechanisms were used in the activity.

The Role is a drop-down list with the following options:

Paying Location: The financial institution is considered to have played the role of Paying Location if the customer received payment from the institution for the products or instruments recorded on the SAR.

Selling Location: The financial institution is considered to have played the role of Selling Location if the customer purchased products or instruments from the institution.

Both A and B: You must select Both A and B if the financial institution was both a paying and selling location for the products or instruments recorded on the SAR.



Note:

1. If there are no branch details added and also the No Branch Involved check box is not checked, the following message displays on validation: You must either select a branch for this SAR or indicate No Branch Involved.

2. If you try to add branch information when the No Branch Involved field is checked, the following message displays: You have indicated that no branch is involved. You must unselect that option before adding a branch.

3. If you select the check box for No Branch Involved when there are existing records on the grid, the following message displays: You have selected No branch involved with branch records already present. Click OK to continue and delete all existing branch records or Cancel to cancel the selection.

If you select OK, the No Branch Involved check box will be marked and permanently deletes all the existing branch details.

Adding Branch Details

To add branch data about the financial institution involved in the suspicious activity, follow these steps:


2. Click Fin Inst Where Activity Occurred tab.

3. Click Branch Details in the LHS menu. The Branch Information grid displays.

4. Click Add. The Add a New Branch pop-up window displays.

Figure 12. Add a New Branch Pop-up Window



7. Click OK. The branch details are saved.



If you click Clear, the details in the Add a New Branch pop-up window is reset to blank values. Click Close to close the Add a New Branch pop-up window.

Note: When you click after entering the branch code in the Add a New Branch pop-up window, all the related information gets auto-populated (except role) and is not editable. Clicking the search icon validates that the branch code entered is a valid branch for your institution.

Note: If you try to save the details in the Add a New Branch pop-up window without first identifying the branch, the following message displays: Select a Branch before saving.

Editing Branch Details

To edit branch data about the financial institution involved in the suspicious activity, follow these steps:




4. Select the branch details you want to edit.

5. Click Edit. The Add a New Branch pop-up window displays.

6. Modify the required information.


8. Click OK. The page is refreshed and displays the modified data.

Deleting Branch Details

To delete branch data about the financial institution involved in the suspicious activity, follow these steps:




4. Select the branch details you want to delete.



7. Click OK. The branch details are deleted.

You cannot edit the report details when the report is in View mode. Action buttons, such as Add, Edit, and Delete, are hidden in the Branch Information grid when the report is in View mode.


Managing Suspicious Activity InformationChapter 5–Managing Report Details

Managing Suspicious Activity Information

The Suspicious Activity Information tab lists all the suspicious activity related information such as Activity Classification, Law Enforcement Agency details, Additional Information related to suspicious activity, and so on.

This tab displays the following options in the LHS menu:

Adding Suspicious Activity Details

Managing Activity Classification

Managing Law Enforcement Agency Details

Managing Additional Information

This tab displays the Validate button and Validate tab button. The Validate button checks the information on the current section, whereas the Validate tab button validates information for all the sections on this tab.

If you click on request for approval and if there is an error in the details of the Suspicious Activity tab, then the application displays the following message: Validate Suspicious Activity.

Adding Suspicious Activity Details

You can add details about the suspicious activity in the Suspicious Activity Details pane. This pane is displayed by default.

To add details about the suspicious activity, follow these steps:


2. Click the Suspicious Activity Information tab.

3. Click Suspicious Activity in the LHS menu. The Suspicious Activity details display.

Figure 13. Suspicious Activity Details Tab - Edit Mode



The following table explains the fields in Suspicious Activity details pane.

Table 15. Fields in Suspicious Activity Details Pane


Activity Date From Enter the date on which the suspicious activity is started.

Note: If you click on the Validate tab and If the date entered in Activity Date From field is lesser than 1 January 1950, then the application displays the following message: Enter a date in the field “Activity Date From” which is later than or equal to 1st January 1950.

If you click on the Validate button and if there is no value entered in Activity date, the application displays the following message: Activity date from must be entered.

To Enter the date on which the suspicious activity is believed to have ended.

Note:

If you click on the Validate tab and If the date entered in Activity Date From field is greater than the date entered in the To date field, the application displays the following message: Activity Date From cannot be greater than the To Date.

Amount Enter the amount involved in the suspicious activity.

Note:

If you click on the Validate tab and if the cumulative amount entered is less than the amount entered in the amount field of Suspicious activity details, then the application displays the following message: Cumulative amount should not be less than the amount for suspicious activity.

If you click on the Validate tab and if you have entered ‘0' in the Amount field, then the application displays the following message: Zero should not be entered in the Amount field in Suspicious Activity Information.





Note: If you click Reset, the page is refreshed and displays the last saved suspicious activity details.

6. Click OK. The suspicious activity details are saved.

Note:

If you try to perform Request for Approval action on the report without entering Suspicious Activity Amount or without indicating that there is no amount involved or amount is unknown, the following message displays: Either Amount or Amount Unknown/No Amount field should be entered in suspicious activity information.

If you specify an amount and also select No Amount Involved or Amount Unknown in the Suspicious activity details pane, the following message displays: When no amount is involved or is unknown, then the amount should not be entered.

If you click on the Validate Tab button and if the information in the Suspicious Activity Details section is not correct, then the application displays the following message: Please Validate the Section Suspicious Activity Details.

Cumulative Amount Enter the cumulative amount involved in suspicious activity.

Note:

Cumulative Amount must be populated only if the report is a Continuing Activity Report.

If the Cumulative Amount is blank for a Continuing Activity Report, then the application displays the following message: The report is marked as “Continuing Activity Report” and Cumulative Amount is missing. If the Cumulative Amount is unknown or there is no Cumulative Amount involved please enter 0.

If you click on the Validate button and when the report is not a Continuing Activity Report with a value entered in the Cumulative Amount field, the application displays the following message: The report is not a “Continuing Activity Report” so Cumulative Amount field in Suspicious Activity tab should be left blank. Also, it should not be entered as 0.

Amount Unknown/no Amount

Select the amount unknown or no amount involved from the drop-down list.

Note:

Select the amount unknown if the amount involved in suspicious activity is unknown.

Select No amount involved if there is no amount involved in the suspicious activity.If you click on Validate button in Suspicious Activity Details section without entering any value in Amount field or if you do not select either Amount unknown, nor No amount involved, then the application displays the following message: Either Amount or Amount Unknown/No Amount field should be entered in suspicious activity information.

If you have entered a value in the Amount field and also selected No Amount Involved or Amount Unknown option, then the application displays the following message: When no amount is involved or is unknown, then Amount should not be entered.

Table 15. Fields in Suspicious Activity Details Pane




Managing Activity Classification

This section provides options to describe the type of suspicious activity such as Fraud, Terrorist financing. Insurance, Casinos, and so on

1. Select Activity Classification from the LHS menu to view the Activity Classification pane.

The Activity Classification displays the following classification categories:

Structuring

Terrorist Financing

Fraud

Gaming Activities

Money Laundering

Identification/Documentation

Other Suspicious Activities

Insurance

Securities/Futures/Options

Mortgage Fraud

Cyber Events

Were any of the following product type(s) involved in the suspicious activity?

Were any of the following instrument type(s)/payment mechanism(s) involved in the suspicious activity?

Within each category, there are options such as Structuring, Terrorist Financing, and so on to select specific behavior that indicate why it was felt the suspicious activity. Review these options within each category and select one or more that best describes the activity being reported.

Each of these classifications in the Activity Classification LHS menu contains subtypes. You can check all the options applicable to the suspicious activity.

2. Select Other from the activity classification list and enter the description of the activity classification.

3. Click Save. All the details in Activity Classification pane are saved.

Validations for Activity Classification

If you click on the Validate button and you have marked Other in any of the fields in Activity Classification section without entering any description, then the application displays the following messages accordingly:

If you have marked Other in Instrument Type/Payment Mechanism Involved and have not provided any description, then the application displays the following message: If Instrument Type/Payment Mechanism Involved contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Product type and have not provided any description, then the application displays the following message: If product type involved contains Other, a brief description of the activity is mandatory in suspicious activity classification.



If you have marked Other in Mortgage fraud and have not provided any description, then the application displays the following message: If mortgage fraud contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Securities/futures/options and have not provided any description, then the application displays the following message: If securities/futures/options contain Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Insurance and have not provided any description, then the application displays the following message: If insurance contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Identification documentation and have not provided any description, then the application displays the following message: If identification documentation contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Money laundering and have not provided any description, then the application displays the following message: If money laundering contain Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Gaming Activity and have not provided any description, then the application displays the following message: If casinos contain Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in fraud and have not provided any description, then the application displays the following message: If fraud contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Terrorist and have not provided any description, then the application displays the following message: If terrorist financing contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Structuring and have not provided any description, then the application displays the following message: If structuring contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Other Suspicious activity and have not provided any description, then the application displays the following message: If another suspicious activity contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have marked Other in Cyber Events activity and have not provided any description, then the application displays the following message: If another suspicious activity contains Other, a brief description of the activity is mandatory in suspicious activity classification.

If you have not marked any of the activity classifications, then the application displays the following message: At least one activity classification should be present.

If you click on the Validate Tab button and if the information in the Activity Classification section is not correct, then the application displays the following message: Please Validate the Section Activity Classification.

Managing Law Enforcement Agency Details

You can update the Law Enforcement (LE) Agency details contacted by the firm regarding the suspicious activity in this pane.



1. Select Law Enforcement Agency Details from the LHS menu to view the Law Enforcement Agency Details pane.

The following table explains the fields in the Law Enforcement Agency Details.

2. Click Save, all the details in Law Enforcement Agency pane are saved.

3. Click on the Validate Tab button. If the information in the Law Enforcement Agency Details section is not correct, then the application displays the following message: Please Validate the Section Law Enforcement Agency Details.

Figure 14. Law Enforcement Agency Details – Edit Mode

Managing Additional Information

Additional information includes specifics regarding any of the following that may have been involved in the activity being reported.

The following are the types of additional information:

Additional Information: This provides details about the attributes of the assets that are involved in this activity.

IP Address Details: This provides the IP address details about the system that is reported in this activity.

Cyber Event Details: This provides the details of the Cyber event types that are used in this activity.

Select Additional Information from the LHS menu to view the Additional Information pane. You can add any additional information about the suspicious activity that has been identified.

Table 16. Fields in the Law Enforcement Agency Details


LE Contact Agency Enter the law enforcement contact agency.

LE Contact Name Enter the law enforcement contact name.

Click on the Validate button and if there are one or more prohibited words entered in LE Contact Agency and LE Contact Name fields, then the application displays the following message: You are not allowed to enter prohibited words in LE Contact Agency and LE Contact Name. The following words are prohibited: AKA, COMPUTER GENERATED, CUSTOMER, DBA, NON CUSTOMER, NONE, NOT APPLICABLE, OTHER, SAME, SAME AS ABOVE, SEE ABOVE, SEE NARRATIVE, SIGNATURE CARD, T/A, UNKNOWN, VARIOUS, XX.

Contact Number Enter the contact number of the law enforcement agency.

Extension Enter the extension number of the law enforcement agency.

LE Contact date Select the date on which the law enforcement agency was contacted.



The Additional Information grid displays an additional information type and description fields.

Figure 15. Additional Information – Edit Mode

Using Additional Information


Adding Additional Information

Editing Additional Information

Deleting Additional Information

Adding Additional Information

To add additional information about the suspicious activity, follow these steps:

1. Click Additional Information on the LHS menu. The Additional Information grid displays.

2. Click Add. The Additional Information pop-up window displays.

Figure 16. Add Additional Information Pop-up Window

3. Select the appropriate additional information type.

4. Enter the description.

Note: The description field in the Additional Information pop-up window allows entering a maximum of 50 characters. As you begin entering the comments, the word count displayed below the description field keeps decreasing. If you try to enter more than 50 characters in the description field, the following message displays: Number of characters exceeded.


6. Click OK. The additional information details are saved.



Editing Additional Information

To edit additional information, follow these steps:

1. Select the additional information you want to edit.

2. Click Edit. The Additional Information pop-up window displays.




Deleting Additional Information

To delete additional information, follow these steps:

1. Select the additional information you want to delete.



4. Click OK. The additional information details are deleted.

Using Adding IP Address Details


Adding IP Address Details

Editing IP Address Details

Deleting IP Address Details

Adding IP Address Details

To add IP Address Details about the suspicious activity, follow these steps:


2. Click the Suspicious Activity Information tab.

3. Click Additional Information on the LHS menu. The IP Address Details grid displays.

4. Click Add. The IP Address Details pop-up window displays.



Figure 17. Add IP Address Details Pop-up Window

5. Enter the appropriate IP Address Details.

6. Select the Activity Date from the calendar.

7. Enter Activity Time.



Note: If the IP address is IPv4, use a variation of the format nnn.nnn.nnn.nnn (n = number) with periods between the segments. The first set of numbers must be valued between 1-255 (inclusive). The second, third, and fourth sets of numbers must be valued between 0-255 (inclusive). If the IP address is IPv6, use a variation of the format cccc:cccc:cccc:cccc:cccc:cccc:cccc:cccc (c = character, IPv6 is alphanumeric in some segments) with colons between the segments.

Editing IP Address Details

To edit IP Address Details, follow these steps:

1. Select the IP Address Details you want to edit.

2. Click Edit. The IP Address Details pop-up window displays.



5. Click OK. The IP Address Details details are saved.

Deleting IP Address Details

To delete IP Address Details, follow these steps:

1. Select the IP Address Details you want to delete.



4. Click OK. The IP Address Details details are deleted.

Using Cyber Event Details




Adding Cyber Event Details

Editing Cyber Event Details

Deleting Cyber Event Details

Adding Cyber Event Details

To add Cyber Event Details about the suspicious activity, follow these steps:

1. Click Additional Information on the LHS menu. The Cyber Event Details grid displays.

2. Click Add. The Cyber Event Details pop-up window displays.

Figure 18. Add Cyber Event Details Pop-up Window

3. Select the appropriate Cyber Event Details type.

4. Enter the Cyber Event description.

5. Enter Other Description.

6. Select the Activity Date from the calendar.

7. Enter Activity Time.


9. Click OK. The Cyber Event Details details are saved.

Note:

The value provided must adhere to the following requirements: 4000 characters or less; must be in the following format based on these specific types of cyber events:

Command and Control/Suspicious IP Addresses: If the IP address is IPv4, use a variation of the format nnn.nnn.nnn.nnn (n = number) with periods between the segments. First set of numbers must be values between 1-255 (inclusive); second, third and fourth set of numbers must be values between 0-255 (inclusive). If the IP address is IPv6, use a variation of the format cccc:cccc:cccc:cccc:cccc:cccc:cccc:cccc (c = character, IPv6 is alphanumeric in some segments) with colons between the segments.

URL/Domain names: Must contain at least one period, no spaces, cannot begin or end with a dash.



Media Access Control (MAC) Addresses: Must be in the format XX:XX:XX:XX:XX:XX

Email Addresses: Must contain @ symbol and at least one period following the @ symbol.

Editing Cyber Event Details

To edit Cyber Event Details, follow these steps:

1. Select the Cyber Event Details you want to edit.

2. Click Edit. The Cyber Event Details pop-up window displays.




Deleting Cyber Event Details

To delete Cyber Event Details, follow these steps:

1. Select the Cyber Event Details you want to delete.



4. Click OK. The Cyber Event Details details are deleted.

Figure 19. Suspicious Activity Details - View Mode

You cannot edit the report details when the report is in View mode. Action buttons, such as Save and Reset are hidden in the Activity Classification pane when the report is in View mode.



Figure 20. Activity Classification - View Mode

You cannot edit the report details when the report is in View mode. Action buttons, such as Save and Reset are hidden in the Law Enforcement Agency Details when the report is in View mode.

Figure 21. Law Enforcement Agency Details - View Mode


Managing Subject InformationChapter 5–Managing Report Details

You cannot edit the report details when the report is in View mode. Action buttons, such as Add, Edit, and Delete are hidden in the Additional Information grid when the report is in View mode.

Figure 22. Additional Information - View Mode

Managing Subject Information


Subject Information Overview

Using Subject Information

Using Subject Address

Using Subject Phone Details

Using Subject Alternate Name Details

Using Subject Email Address

Using Subject Website (URL) Address

Using Account Information

Using Subject Relationship with Financial Institution

Subject Information Overview

The Subject Information page lists information related to the subject, accounts associated with the subject, and the subject’s relationship with the financial institution. A maximum of 999 records can be added to one report or suspicious activity.

The Validate button in the Subject Information grid checks for any missing mandatory information.

The following table explains the columns in the Subject Information grid.

Table 17. Columns in Subject Information Grid


Subject Record # Displays the subject record number. It is a system-generated unique number that identifies the subject for this report.

Note: It is used for confirmation messages to identify the subjects whose information does not meet validation or approval requirements.

Subject Name Displays the subject name.

TIN Displays the subject TIN number.



Using Subject Information


Adding Subject Information

Editing Subject Information

Deleting Subject Information

Adding Subject Information

To add subject information, follow these steps:

1. Go to the Regulatory Reports Details page.

2. Click the Subject Information tab.

3. Click Add. The Subject details window expands below the section where you can enter the required subject information.

.

Figure 23. Adding Subject Information

Occupation/Type of Business

Displays the occupation/type of business of the subject.

Role Defines the role of the subject in the suspicious activity that is reported. The Role is a drop-down list with the following options: Purchaser/Sender: If the subject purchased, sent the instruments, or products

involved in the suspicious activity, then they are considered to have played the role of Purchaser/Sender.

Payee/Receiver: If the subject received the instruments or products involved in a suspicious activity, then they are considered to have played the role of the Payee/Receiver.

Both A and B: Select this option if the subject acted as both Purchaser/Sender and Payee/Receiver.

Table 17. Columns in Subject Information Grid




The following table explains the fields in the Subject Information pop-up window.

Table 18. Fields in Subject Information Pop-up Window


Is critical information unknown? Select this check box if all critical information about the subject is unavailable. Critical information is considered to be: Last Name/Entity Name

First Name

TIN

DOB

Address

Identification

Is subject an Entity Select this check box if the subject is an entity.

Note: Some of the fields such as first name, middle name, suffix, gender, date of birth, and so on are disabled on the selection of this check box.

Last Name/Entity Name Enter the last name of the entity or subject.

Middle Name Enter the subject’s middle name.

First Name Enter the subject’s first name.

Suffix Enter the subject suffix.

DOB Enter the subject’s date of birth.

Gender Enter the subject’s gender.

TIN Enter the subject TIN number.

TIN Type Enter the subject TIN type.

NAICS Code Select the NAICS code.

NAICS stands for The North American Industry Classification System. It is used by business and government to classify and measure economic activity in Canada, Mexico, and the United States.

The NAICS numbering system is a six-digit code. The first five digits are generally the same in all three countries. The last digit designates national industries. The first two digits designate the largest business sector, the third digit designates the sub-sector, the fourth digit designates the industry group, and the fifth digit designates particular industries.

Occupation/Type of Business Enter the occupation or type of business of the subject.




Note: For some fields where information may not be known there is an option to select the Unknown check box. A value must be provided for those fields where the unknown check box is not selected unless the Is All Critical Information check box is selected, in which case these fields will be considered unknown.


6. Click OK. The subject information is saved.

Note: You can now view grids such as Phone, Address, Email, Form of Identification, URL, Alternate Name, Email address, URL address, Account Information, and Relationship with the financial institution where you can enter the required subject details.

Editing Subject Information

To edit subject information, follow these steps:



3. Select the record you want to edit in the Subject Information grid. A window expands below displaying all the Subject Information.

4. Modify the necessary information.


6. Click OK. The subject information is saved.

Deleting Subject Information

To delete subject information, follow these steps:



3. Select the record you want to delete in the Subject Information grid.



Corroborative Statement Received Select whether the corroborative statement is received.

As per FinCEN, a corroborative statement is considered to be where the subject has made a statement to the filing institution admitting to the involvement or otherwise substantiating the suspicious activity. If such a statement was made, you must select Yes. If not, select No. If you select Yes, then the nature of that statement should be captured in the report Narrative.If you click Save without selecting any value in this field, then the application displays the following message: You have not selected any value for Corroborative Statement Received for Suspect ID- <Suspect ID>.

Subject role Select the role of the subject in the suspicious activity.

Table 18. Fields in Subject Information Pop-up Window




6. Click OK. The Subject information is deleted.

Note:

1. If Is critical information unknown? is unchecked and you have not entered information for at least one critical field or have not checked all of the subject info associated with Unknown check boxes, the following message displays: Sub# Subject Record- “Is critical information unknown” is not checked and some mandatory fields are missing. Please make sure you enter values for mandatory Subject details i.e. (Last Name/ Entity Name, First Name, TIN, DOB, address, and Identification Information or mark fields as Unknown.

2. If you are adding or editing the subject details and select the Is critical information unknown? check box after entering information in one or more critical fields, the following message displays: All critical information of the subject i.e. Last Name/ Entity Name, First Name, TIN, DOB, Address details and Identification Information will be cleared if the critical information unknown field is checked. Click OK to continue and clear values from the mandatory fields or Cancel to modify your selection.

3. If you select the Critical Information Unknown check box, you will not be able to add subject address and identification details and the following message displays: You are not allowed to add address and identification info when 'Is critical information unknown?' field is true.

4. In the Subject Information tab, if you click on the Validate button and if there are no records present in Address, Alternate Name, Phone, Email, Website, and Accounts grid, then the application displays the following message: There is no Record present to Validate the information.

5. In the Subject Information tab, if you click on the Validate button and if there is a blank record present in Address, Alternate Name, Phone, Email, Website, and Accounts grid, then the application displays the following message: There is Blank Record present to Validate the information. Please enter the information in the record and then Validate.

Using Subject Address


Adding Subject Address

Editing Subject Address Details

Deleting Subject Address Details

Adding Subject Address

To add subject address details, follow these steps.



3. Select the record for which you want to add the subject phone details. A window expands below the section and it displays the following details: Phone, Address, Email, Form of Identification, URL, Alternate Name, Email address, URL address, Account Information, and Relationship with the financial institution where you can enter the required subject details.

4. Click Add in the Address grid. The Address pop-up window displays.



Figure 24. Address Pop-up Window

5. Enter the required information in the Address pop-up window.

Note: You must either provide a value for each field or select the Unknown check box for any part of the address that is not known.


7. Click OK. The subject address details are saved.

Click Clear to clear the entries in the Address pop-up window and click Close to close the Address pop-up window.

Validations:

The OFS CRR application performs the following validations while entering subject address details:

You are not allowed to add Address and Identification Information when Is critical information unknown? the field is true.

You must not enter more than 100 characters in the Address field.

You must not enter more than 50 characters in the city field.

For the US, the postal code must contain only numbers, either 5 or 9 in length.

For the US, the postal code should not end with 0000 and 9999.

Editing Subject Address Details

To edit the subject address, follow these steps:




4. Click Edit in the Address grid. The Address pop-up window displays.





7. Click OK. The subject address details are saved.

Deleting Subject Address Details

To delete the subject address details, follow these steps.



3. Select the record you want to delete in the Address grid.

4. Click Delete in the Address grid. The following message displays: Are you sure you want to delete this record.


6. Click OK. The subject address detail is deleted.

Note: The Validate button in the Address grid validates the information present in the Address section and checks for any missing mandatory information.

Using Subject Phone Details


Adding Subject Phone Details

Editing Subject Phone Details

Deleting Subject Phone Details

Adding Subject Phone Details

To add the subject phone details, follow these steps.




4. Click Add in the Phone grid. The Phone pop-up window displays.



Figure 25. Phone Pop-up Window

5. Enter the required information in the Phone pop-up window.

Note: The type in the Phone pop-up window represents the mode of communication used to interact with the subject.

The following options are available for Type in the Phone pop-up window:

Fax

Mobile

Work

Home


7. Click OK. The phone details are saved.

8. Click Clear to clear the entries in the Phone pop-up window and click Close to close the Phone pop-up window.



Validations:

1. Enter only numeric values. Do not enter any space, or special characters.

2. If you select the phone number type and you have not provided the phone number, the application displays the following message: You have provided a Phone Number Type but no Phone Number. Please add a phone number or clear your selection of Phone Number Type.

3. The application performs the following validations while entering subject phone details:

You must not enter more than 16 characters in the phone number field.

You must not enter more than 6 characters in the extension field.

Editing Subject Phone Details

To edit the subject phone details, follow these steps:




4. Select the record you want to edit in the Phone grid.

5. Click Edit in the Phone grid. The Phone pop-up window displays.



8. Click OK. The subject phone details are saved.

Deleting Subject Phone Details

To delete the subject phone details, follow these steps.



3. Select the record you want to delete in the Phone grid.

4. Click Delete in the Phone grid. The following message displays: Are you sure you want to delete this record.


6. Click OK. The Subject phone details are deleted.

Note: The Validate button in the Phone grid validates the information present in the Phone section and checks for any missing mandatory information.

Using Subject Identification Details


Adding Subject Identification Details

Editing Subject Identification Details



Deleting Subject Identification Details

Adding Subject Identification Details

To add subject identification details, follow these steps.

1. Go to the Subject Information tab.


3. Click Add in the Form of Identification grid. The Form of Identification pop-up window displays.

Figure 26. Form of Identification Pop-up Window

4. Enter the required information in the Form of Identification pop-up window.


6. Click OK. The subject identification details are saved.

7. Click Clear to clear the entries in the Form of Identification pop-up window and click Close to close the Form of Identification pop-up window.

Note: Select the Unknown check box if you do not want to enter any information for Forms of Identification.

Validations:

1. If you select the Unknown check box when a report already contains one or more identification details, the application displays the following message: You have selected No identification details are available with identification details already present. Click Ok to continue and delete all existing identification details or Cancel to cancel the selection.

2. If you try to add new identification details when you have already selected the Unknown check box, the application displays the following message: You have indicated that no identification details are available. You must unselect that option before adding identification information.

3. The application performs the following validations while entering subject identification details:

You are not allowed to add Address and Identification Information when Is critical information unknown? the field is true.



It is mandatory to enter the Identification type for Identification details.

It is mandatory to enter a brief description of Identification if the Identification type is Other.

You should not enter a description of Identification when the Identification type is not Other.

You should not enter more than 24 characters in the Identification number field.

You should not enter more than 50 characters in the Other field.

The Country is mandatory for all the identification details entered.

Editing Subject Identification Details

To edit the subject identification details, follow these steps:



3. Select the record you want to edit in the Form of Identification grid.

4. Click Edit in the Form of Identification grid. The Form of Identification pop-up window displays.



7. Click OK. The subject identification details are saved.

Deleting Subject Identification Details

To delete the subject identification details, follow these steps.


2. Select the record you want to delete in the Form of Identification grid.

3. Click Delete in the Form of Identification grid. The following message displays: Are you sure you want to delete this record.


5. Click OK. The subject identification details are deleted.

Note: The Validate button in the Form of Identification grid validates the information present in this section and checks for any missing mandatory information.

Using Subject Alternate Name Details


Adding Subject Alternate Name Details



Editing Subject Alternate Name Details

Deleting Subject Alternate Name Details

Adding Subject Alternate Name Details

To add the subject alternate name details, follow these steps.



3. Click Add in the Alternate Name grid. The Alternate name pop-up window displays.

4. Enter the required information in the Alternate Name pop-up window.


6. Click OK. The alternate name details are saved.

7. Click Clear to clear the entries in the Alternate Name pop-up window. Click Close to close the Alternate Name pop-up window.

Validations:

The application performs the following validations while entering subject alternate name details:

You should not enter more than 150 characters for an alternate name.

You should not use prohibited words such as AKA, computer-generated, customer, DBA, Non-customer, none, not applicable, other, same, same as above, see above, see narrative, signature card, T/A, unknown, various, and so on.

Editing Subject Alternate Name Details

To edit the subject alternate name details, follow these steps:



3. Select the record you want to edit in the Alternate Name grid.

4. Click Edit in the Alternate Name grid. The Alternate Name pop-up window displays.



7. Click OK. The alternate name details are saved.

Deleting Subject Alternate Name Details

To delete the subject alternate name details, follow these steps.




2. Select the record you want to delete in the Alternate Name grid.

3. Click Delete in the Alternate Name grid. The following message displays: Are you sure you want to delete this record.


5. Click OK. The Subject alternate name details are deleted.

Note: The Validate button in the Alternate name grid validates the information present in this section and checks for any missing mandatory information.

Using Subject Email Address


Adding Subject Email Address

Editing Subject Email Address

Deleting Subject Email Address

Adding Subject Email Address

To add the subject email details, follow these steps.



3. Click Add in the Email Address grid. The Email Address pop-up window displays.

4. Enter the required information in the Email Address pop-up window.


6. Click OK. The email details are saved.

7. Click Clear to clear the entries in the Email Address pop-up window and click Close to close the Email Address pop-up window.

Validations:

1. If you enter an invalid Email address, the application displays the following message: Invalid Email Id.

2. The application performs the following validations while entering subject email details:

You should not enter more than 50 characters in the Email ID field.

One or more Email ID(s) is in invalid format. Email addresses must contain only one "@" sign and a period in the text following the "@" sign.

Editing Subject Email Address

To edit the subject email address, follow these steps:





3. Click Edit in the Email Address grid. The Email Address pop-up window displays.



6. Click OK. The subject email details are saved.

Deleting Subject Email Address

To delete the subject email details, follow these steps.


2. Select the record you want to delete in the Email Address grid.

3. Click Delete in the Email Address grid. The following message displays: Are you sure you want to delete this record.


5. Click OK. The Subject email details are deleted.

Note: The Validate button in the E-mail address grid validates the information present in this section and checks for any missing mandatory information.

Using Subject Website (URL) Address


Adding Subject Website (URL) Address

Editing Subject Website (URL) Address

Deleting Subject Website (URL) Address

Adding Subject Website (URL) Address

To add the subject website details, follow these steps.



3. Click Add in the Website (URL) Address grid. The Website (URL) Address pop-up window displays.

4. Enter the required information in the Website (URL) Address pop-up window.


6. Click OK. The URL details are saved.



7. Click Clear to clear the entries in the Website (URL) Address pop-up window and click Close to close the Website (URL) Address pop-up window.

Validations:

1. If you enter an invalid URL address, the application displays the following message: Invalid URL.

2. The application performs the following validations while entering subject website details:

You should not enter more than 517 characters in the URL field.

The URL addresses must contain a dot (.) and must not include the "@" character.

Editing Subject Website (URL) Address

To edit the subject website (URL) address, follow these steps:



3. Click Edit in the Website (URL) Address grid. The Website (URL) Address pop-up window displays.



6. Click OK. The subject URL details are saved.

Deleting Subject Website (URL) Address

To delete the subject website (URL) details, follow these steps.


2. Select the record you want to delete in the Website (URL) Address grid.

3. Click Delete in the Website (URL) Address grid. The following message displays: Are you sure you want to delete this record.


5. Click OK. The Subject URL details are deleted.

Note: The Validate button in the Website (URL) grid validates the information present in this section and checks for any missing mandatory information.

Using Account Information


Adding Subject Account Information

Editing Subject Account Information

Deleting Subject Account Information



Adding Subject Account Information

The account information container captures the Account details of the Subject. The Validate button in the Account Information grid checks for any missing mandatory information. You can add, edit, or delete subject account information.

If there are no accounts involved in the suspicious activity, check Unknown. If the Unknown checkbox is checked, then you cannot add any account information.

Note:

1. If you click the check box If No Account Involved, check this box when the report already contains one or more account details, the following message displays: You have selected No known account involved with account records already present. Click Ok to continue and delete all existing account records or Cancel to cancel the selection.

2. If there are no account details and If No Account Involved, check this box is not checked, the following message displays: You must either enter account information or indicate No known account involved for Subject record # 12345.

3. If you try to add a new account when If No Account Involved, check this box field is checked, the following message displays: You have indicated that no known accounts are involved. You must unselect that option before adding an account.

4. While adding an account you must specify either the TIN or the Account Number (at least one of them). In case you fail to mention both the TIN and the Account Number, the following message displays: Account Details must contain at least an Affected Account or a Financial Institution TIN. Please provide at least one.

5. If you enter TIN type as SSN/ITIN or EIN and if it is more than 9 digits or if it contains any special characters, then the application displays the following message: 12345 Subject # - For TIN type, SSN/ITIN or EIN length of tin number should be 9 and it must contain only numbers. It should not contain any special characters.



To add the subject account details, follow these steps:


2. Click Account Details in the LHS menu. The Account Information grid displays.

3. Click Add. The Account Add pop-up window displays.

Figure 27. Account Add Pop-up Window

The following table explains the fields in the Account Details pop-up window.


5. Click OK. The account details are saved.

6. Click Clear to clear the account details entered and click Close to close the Account Details pop-up window.

Editing Subject Account Information

To edit the subject account details, follow these steps:



3. Select the account you want to edit in the Account Information grid.

4. Click Edit. The Account Add pop-up window displays.



Table 19. Fields in Account Add Pop-up Window


Non-US Financial Institution

Select No if the financial institution associated with the account is a US-based financial institution. Select Yes if the financial institution associated with the account is a non-US institution.

Financial Institution TIN Enter the financial institution TIN number.

Account Number Enter the account number.

Is Account Closed Select whether the account is closed or not.Note: If you have not selected any value in the field Is Account Closed, the application displays the following message: You have not selected any value for field Is Account Closed.



7. Click OK. The subject account details are saved.

Deleting Subject Account Information

To delete the subject account details, follow these steps:



3. Select the account you want to delete in the Account Information grid.

4. Click Delete. The following message displays: Are you sure you want to delete this record.


6. Click OK. The subject account detail is deleted.

Using Subject Relationship with Financial Institution


Editing Subject Relationship with Financial Institution

Deleting Subject Relationship with Financial Institution

The Relationship with Financial Institution container provides data regarding the Relationship of the Subject with the Financial Institutions mentioned in the report.

The Validate button in the Subject information tab checks for any missing mandatory information and identifies any disallowed combinations of Relationship types and the inclusion of an Action Date.

If you click on Save without entering any value in Relationship with Financial Institution, the application displays the following message: You have not selected any value for “Relationship with Financial Institution”. If there is no relationship then please select “No relationship to an institution” from the drop-down.

The following table explains the columns in the Relationship With Financial Institution grid.

Adding Subject Relationship with Financial Institution

You can add, edit, validate, or delete the relationship of the subject with financial institution details.

To add the subject relationship with a financial institution, follow these steps:

Table 20. Columns in Relationship With Financial Institution Grid


Financial Institution TIN Displays the TIN number of the financial institution.

Relationship with Financial Institution Displays the relationship of the subject with the financial institution.

Status Displays the status of the relationship of the subject with the financial institution.

Action Date Displays the action date from the calendar.




2. Click Relationship with financial institution LHS menu in the Subject Information tab. The Relationship with Financial Institution grid displays.

3. Click Add. The Relationship with Financial Institution pop-up window displays.

Figure 28. Add Relationship with Financial Institution Pop-up Window

The following table explains the fields in the Add Relationship with Financial Institution pop-up window:

Table 21. Fields in Add Relationship with Financial Institution Pop-up Window


Financial Institution TIN Enter the TIN number of the financial institution.

Relationship with Financial Institution Select the relationship of the subject with the financial institution from the drop-down list.This field provides the following options in the drop-down list: Accountant

Agent

Appraiser

Attorney

Borrower

Customer

Director

Employee

No relationship to the institution

Officer

Owner or Controlling shareholder

Other

Description (Relationship type “Other”) Enter the relationship of the subject with the financial institution.

Note: If the relationship of the subject with the financial institution is anything other than the options provided in the Relationship with Financial Institution drop-down list, then you must select Other and provide a description of the relationship.




5. Click OK. The Relationship with Financial Institution details is saved.

6. Click Clear to clear the subject relationship with financial institution details entered. Click Close to close the Subject Relationship With Financial Institution pop-up window.

Editing Subject Relationship with Financial Institution

To edit the subject relationship with a financial institution, follow these steps:



3. Select the record you want to edit from the Relationship with Financial Institution grid.

4. Click Edit. The Relationship with Financial Institution pop-up window displays.



7. Click OK. The Relationship with Financial Institution details is saved.

Deleting Subject Relationship with Financial Institution

To delete the subject relationship with a financial institution, follow these steps:



3. Select the record you want to delete from the Relationship with Financial Institution grid.



6. Click OK. The Relationship with Financial Institution detail is deleted.

Status Select the status of the relationship of the subject with the financial institution from the drop-down list.This field provides the following options in the drop-down list: Resigned

Suspended/Barred

Terminated

Relationship continues

Action Date Select the date of termination of the subject related to the financial institution.Note: This field must be updated only if the relationship status is Terminated.

Table 21. Fields in Add Relationship with Financial Institution Pop-up Window



Managing DocumentsChapter 5–Managing Report Details

Note: You cannot edit the report details when the report is in View mode. Action buttons, such as Add, Edit, Delete, and Validate, are hidden in the Subject Details when the report is in View mode.

Managing Documents

The Documents tab lists all the documents that are attached to the report. It also allows you to add additional documents. You can upload files of any format with a size of less than 1 MB.

The following table explains the fields in the Documents grid.

Note: You can upload files of any format in the Documents tab. You can choose to include the attached document in the report.

However, only one file of .csv format can be included in the report. You cannot include files of any other format other than .csv in the report.


Adding Documents

Viewing Documents

Deleting Documents

Validate a Document

Including Documents in Report

Adding Documents

To add the documents, follow these steps:


2. Click the Documents tab. The document details display.

3. Click Add. The Attach Document pop-up window displays.

Table 22. Fields in Documents grid


Actual file name Displays the actual file name of the document attached.

File name Displays the logical file name assigned by the user.

Include this file in the report Displays whether the attached document is included in the final report or not.


Managing DocumentsChapter 5–Managing Report Details

Figure 29. Attach Document Pop-up Window

The following table explains the fields in the Attach Document pop-up window.

4. Click Browse in the Choose a file field. Select the document that must be attached from the local system.

5. Click Attach File. The following message displays: Add Operation Successful.

6. Click OK. The Attach Document pop-up window displays for attaching a new document.

7. Click Close to view the newly added document in the List of Documents grid.

Viewing Documents

To view the documents attached, follow these steps:


2. Click the Documents tab. The Document details display.

3. Select the document you want to view from the List of Documents grid.

4. Click View Document. A File Download box displays.

5. Click Open in the File Download Box to view the document attached. Click Save to save a copy of the attached document in your local system or click Cancel to close the File Download Box.

Deleting Documents

To delete the attached documents, follow these steps:

1. Go to the Regulatory Reports Details page

2. Click the Documents tab. The document details display.

3. Select the document you want to delete.


Table 23. Fields in Attach Document Pop-up Window


Logical File Name Enter the file name of the document to be attached.

Choose a File Select the file that needs to be attached.Note: You can attach files of any format in the Documents tab.


Adding NarrativeChapter 5–Managing Report Details


If you click Cancel, the document is not deleted.

6. Click OK. The List of Documents grid displays.

Validate a Document

While creating the report, if the user has selected Include in Report option, then the Report (.csv format) will get validated here. Only .csv format is accepted as an attachment in the document tab.

Including Documents in Report

You can include the document attached in the Documents tab in the report. Only one file of .csv format can be included in the report. You cannot include files of any other format.

To include the attached document, follow these steps:


2. Click the Documents tab. The documents attached display in the List of Documents grid.

3. Select the check box of the document you want to include in the report.

4. Select Yes from the drop-down list in the Include This File in Report column.

5. Click Save in the List of Documents grid. The following message displays: Update Operation Successful.

6. Click OK. The List of Documents grid displays.

Note: If you try to include files of any other format (other than .csv format), the following message displays: Only a document with csv extension can be included in the report.

If you try to include more than one .csv file in the report, the following message displays: Only one document can be made primary for a report.

You cannot edit the report details when the report is in View mode. Action buttons, such as Add, Delete, and Save, are hidden in the Documents tab when the report is in View mode.

Adding Narrative

The Narrative tab displays the description of the suspicious activity. It also displays any additional information related to suspicious activity.

To update the Narrative tab, follow these steps:


2. Click the Narrative tab. The Narrative pane displays.

3. Enter the information in the Narrative pane.

Note: You can enter a maximum of 17000 characters in the narrative pane.

4. Click Save. The following message displays: Update Operation Successful. Carriage returns (if any) will be removed when submitting to FinCEN.


Viewing AuditChapter 5–Managing Report Details

Note: The line breaks in the Narrative tab is removed while submitting the e-file to FinCEN.

5. Click OK. The narrative details are saved.

6. To clear the changes made in the Narrative tab, click Reset. The page refreshes to display the last saved data.

Figure 30. Narrative Tab - Edit Mode

You cannot edit the report details when the report is in View mode. Action buttons, such as Save and Reset are hidden in the Narrative tab when the report is in View mode.

Figure 31. Narrative Tab – View Mode

Viewing Audit

The Audit tab displays actions taken on the report. This tab contains the Regulatory Report Actions Grid and the Regulatory Report Comments Grid.

Figure 32. Audit Tab

The Audit tab displays the following grids:

Regulatory Report Actions

Regulatory Report Comments


Viewing AuditChapter 5–Managing Report Details

Regulatory Report Actions

The Regulatory Report Actions displays the actions taken on the regulatory report. This grid displays the following fields

Regulatory Report Comments

The Regulatory Report Comments provides the lists of all the comments from different users from the Audit log, and it displays the following fields:

Table 24. Fields in Regulatory Report Actions Grid


Action Filing Institution Information Modified

Added Financial Institution

Modified Financial Institution

Removed Financial Institution

Added Branch Information

Modified Branch Information

Delete Branch Information

Added New Subject – Subject Record # (When a user clicks Save)

Removed Subject – Subject Record #

Modified Subject Details – Subject Record #

Modified Suspicious Activity Details Modified Suspicious Activity Classification

Modified Law Enforcement Information

Added Suspicious Activity Additional Information

Modified Suspicious Activity Additional Information

Removed Suspicious Activity Additional Information

Added New Document – Name of the added document

Removed Document – Name of the Removed document

Added Relationship with Financial Institution

Modified Relationship with Financial Institution

Removed Relationship with Financial Institution

Added New Account - Account Number

Modified New Account - Account Number

Removed New Account - Account Number

Narrative Added

Due Date Modified

Table 25. Fields in Regulatory Report Comments Grid


Date Displays the date on which the comment was recorded.

By Displays the name of the user who has given that comment.

Comments Displays the comments added to the report by the user.


Requesting for ApprovalChapter 6–Acting on Reports

CHAPTER 6 Acting on Reports

This chapter explains various actions that can be performed on the reports and includes the following topics:

Requesting for Approval

Approving/Rejecting/Closing Reports

Filing Regulatory Reports

Requesting for Approval

After updating the report details, they must be validated. The Regulatory Report Details page allows users with appropriate roles to submit a report for approval. Authorized users can validate the report details and can either Approve, Close, or Reject the report.

Note: A user can initiate Request for Approval action, only when the report is in Open/Rejected/Rejected from e-file status.

For more information on user roles, refer to Table 5.

To submit a report for approval, follow these steps:

1. Go to the Regulatory Report Details.

2. Click Request for Approval. If there is mandatory information which is missing or information that is in some way invalid for the report submission, you will receive warnings to correct the information before requesting the approval. If there are no errors detected, the Request for Approval Action pop-up window displays.

Figure 33. Request for Approval Action Pop-up Window

3. Enter the comments in the Action pop-up window.

Note: The comments box in the Action pop-up window allows entering a maximum of 255 characters. As you begin entering the comments, the word count displayed below the comments box keeps decreasing. If you try to enter more than 255 characters in the Comments box, the following message displays: Number of characters exceeded.


5. Click Clear to clear the data in the Action pop-up window and click Close to close the Action pop-up window.


Approving/Rejecting/Closing ReportsChapter 6–Acting on Reports

6. Click OK. The report audit details display.

Note: The Regulatory Report Action grid in the Audit tab displays the comments added in the Request for Approval Action pop-up window.

If you click Save, without entering the comments in the Request for Approval Action pop-up window, the follow-ing message displays: Mandatory fields are not entered.

Approving/Rejecting/Closing Reports

The Regulatory Report Details allows authorized users to approve, reject, or close the regulatory reports.

Note: The authorized users can approve, reject, or close the report only when all the mandatory fields in Report Details tabs are complete.

If the report is approved, an e-file is generated for the report. The generated e-file is submitted with the FinCENs BSA E-Filing System.

If the report is rejected, then you must re-work on the report and submit the report for approval or you can close the report. If you close the report after being rejected, then the status of the report changes to Closed. But if you choose to rework on the report, then the status of the report changes to Request for Approval, which must again be validated and approved by authorized users. This process continues until the report is approved or closed.

If you close the report, the report details cannot be edited and the report is in View mode. For more information on user roles, see Table 5.


Approving Reports

Rejecting Reports

Closing Reports

Approving Reports

To approve a report, follow these steps:


2. Click Approve. If there is mandatory information which is missing or information that is in some way invalid for the report submission, you will receive warnings to correct the information before requesting approval. If there are no errors detected, the Approve Action pop-up window displays.

Figure 34. Approve Action Pop-up Window





4. Click Save The following message displays: Update Operation Successful.

5. Click Clear to clear the data in the Action pop-up window and click Close to close the Action pop-up window.

6. Click OK. The report audit details display. The Regulatory Report Action grid in the Audit tab displays the comments added in the Approve Action pop-up window.

If you click Save, without entering the comments in the Approve Action pop-up window, the following mes-sage displays: Mandatory fields are not entered. If the report is approved, the status of the report changes to Approved.

Re-Approving Reports

The Regulatory Report Details allows authorized users to re-approve reports. The user can re-approve reports when the report is in Re-Approve Required status. This action must be performed if the report has been edited in any way. Taking the action of Re-Approve will re-run the report validations and ensure that the editing did not introduce any report validation errors.

Note: If an approved report is edited in any way, the status of the report changes to Re-approve Required. When a report in Re-approve Required status is re-approved, the status of the report changes to Approved.

To re-approve a report, follow these steps:


2. Click Re-approve. The Re-approve Action pop-up window displays.

Figure 35. Re-Approve Action Pop-up Window




Click Clear to clear the data in the Action pop-up window and click Close to close the Action pop-up window.


Note: The Regulatory Report Action grid in the Audit tab displays the comments added in the Re-approve Action pop-up window.



If you click Save without entering the comments in the Re-approve Action pop-up window, the following mes-sage displays: Mandatory fields are not entered.

Rejecting Reports

The Regulatory Report Details allows you to reject reports from filing. You can the reject report when the report is in Approved or Request for Approval status. If a report is rejected, then the requester must re-work on the report and re-submit the report for approval. This process continues until the report is approved or closed.

Note: If a report is rejected, the status of the report changes to Rejected.

To reject a report, follow these steps:


2. Click Reject. The Reject Action pop-up window displays.

Figure 36. Reject Action Pop-up Window



4. Click Save The following message displays: Add Operation Successful.



The Regulatory Report Action grid in the Audit tab displays the comments added in the Reject Action pop-up window.

If you click Save, without entering the comments in the Reject Action pop-up window, the following message displays: Mandatory fields are not entered.

Updating Rejected Reports

If a report is rejected, then you can either close the report or can re-work on the report and again submit the report for approval. This re-work process continues until the report is either approved or closed.


Filing Regulatory ReportsChapter 6–Acting on Reports

Closing Reports

If you determine that an SAR report should not be filed, then you can close it. The Closed status removes it from the work queue and helps to distinguish it from those in the Filed status.

You can choose to close a report that is in an approved state if for any reason, it is determined that the SAR no longer needs to be filed. This may be because of late arriving information for the investigation or other subsequent events that eliminate the need for reporting the activity.

The Regulatory Report Details allows you to close reports without filing. You can close reports when the report is in Approved, Request for approval, or Rejected status.

Once the report is closed, you cannot edit the report details and the report is in View mode.

Note: If a report is closed, the status of the report changes to Closed.

To close a report, follow these steps:


2. Click Close. The Close Action pop-up window displays.

Figure 37. Close Action Pop-up Window






The Regulatory Report Action grid in the Audit tab displays the comments added in the Close Action pop-up window.

If you click Save without entering the comments in the Close Action pop-up window, the following message displays: Mandatory fields are not entered.

Filing Regulatory Reports

Once the report is approved, you must file the regulatory reports with the regulatory bodies.


Filing Regulatory ReportsChapter 6–Acting on Reports

The OFS CRR application helps in generating e-file for an approved report. The e-file generated is in a .xml format that is according to the specifications described in FinCEN Suspicious Activity Report (FinCEN SAR) Electronic Filing Requirements. After successfully e-filing, you can download the acknowledgment (XML) file from the BSA E-Filing System and upload the acknowledgment into OFS CRR, thereby completing the SAR process. The status of the report changes to Filed.

Filed status is the final status given to a SAR that has been submitted to and processed by FinCEN.


For more information on filing regulatory reports, see Chapter Filing Regulatory Reports.


CHAPTER 7 Filing Regulatory Reports

This chapter describes the instructions for generating an e-file, filing regulatory report at FinCEN, uploading the acknowledgment, and completing the SAR process. Only users mapped to the role of Super User or Admin User can generate the e-file.

This chapter discusses the following topics:

Overview

Workflow for Filing the Regulatory Report

Searching Approved Reports

Generating E-File

Searching E-File Status

Viewing E-File, E-File Details, and E-File Attachments

Downloading the E- File

Submitting the E-File at FinCEN

Saving E-File Acknowledgments from FinCEN

Uploading E-File Acknowledgment into OFS CRR Application

Rejecting SAR(s) from E-File

Completing the SAR Process

Adding Comments to E-File

Overview

When a report is created in the application, the report details are entered and then submitted for approval. Once the report is submitted for approval, an authorized user validates the report details and either approves, rejects, or closes the report.

If the user approves the report, that report is available for e-file generation by an authorized user. The generated e-file is submitted with the FinCENs BSA E-Filing System. The e-file is validated by FinCEN and an acknowledgment (XML file) is generated. The acknowledgment file can then be uploaded into the OFS CRR application. The application will then associate the FinCEN returned BSA Identifier to each SAR within the e-file. At this point the user can then mark the SAR process as complete.

This chapter explains the steps involved in filing approved reports.


Workflow for Filing the Regulatory ReportChapter 7–About Regulatory Reporting

Workflow for Filing the Regulatory Report

The following figure illustrates the workflow of E-File in the OFS CRR application:

Figure 38. Filing Regulatory Reporting Workflow


Searching Approved ReportsChapter 7–About Regulatory Reporting

Searching Approved Reports

The File Regulatory Reports workflow contains two tabs namely, Approved Reports and E-File Status. The Approved Reports tab enables you to search for and display reports that are in an Approved state and are ready for e-filing. It is from this tab that you will generate the e-file.

Note: Super user and Admin user can reject or close approved reports from this tab.

To search for approved reports, follow these steps:

1. Login to the OFS CRR application as Super User/Admin User.

2. From the Regulatory Reporting menu, hover over Regulatory Reports – SAR and click File Regulatory Reports. The File Regulatory Report page displays.

3. Click Approved Reports tab. The Advanced Report List page displays all the reports in Approved status.

Figure 39. Approved Reports List

4. To further filter the list of Approved reports, enter criteria in one or more of the provided filters, as described in the following table

5. Click Search. The relevant search list displays.

Note: If you click Reset, all search fields are set to default values (blank).

Table 26. Approved Reports Search Bar Field Descriptions


Report Name Enter the name of the regulatory report. Wildcard searches are supported using % as the wildcard symbol.

Case ID Enter the Case ID for the report.

Created By Select the user role(s) from the drop-down list to search for reports created by the selected user roles.

Approved By Enter the name of the approver to search for reports approved by the selected user.

Approved From Date

Select the approved date from the calendar to display reports approved from the selected date.

Approved To Date Select the approved date from the calendar to display reports approved until this date.

Jurisdiction Select the jurisdiction from the drop-down list to display reports mapped to the selected jurisdiction.


Generating E-FileChapter 7–About Regulatory Reporting

Generating E-File

Once the status of a regulatory report changes to Approved, you can generate the e-file for those report(s) and upload the resultant .xml file into FinCEN’ BSA E-Filing System.

Note: When an e-file is generated, an attachment zip file is created for the e-file with a .csv file in it. This .zip file is only available if attachments were associated with any SAR within the E-File.

To generate e-file, follow these steps:



3. In Approved Reports tab, the Advanced Report List page displays all the reports in Approved status. You can also use the Approved Report Search to filter the required reports in Approved status.

4. From the Approved Report List, select the required report(s) for which you want to generate e-file.

5. Click Generate E-File. The following message displays: E-File Generated Successfully.

6. Click OK. The status of the regulatory report changes to E-File Generated.

Note: The reports on which Generate E-File action is taken are moved from Approved Reports list to E-File List.

When two users try to generate e-file for the same report(s) at the same time, the following message displays: One or more reports selected by you are locked by another user for generating E File or it has already been generated. Click OK to refresh the list

If you try to E File/Reject a report which has already been locked by another user for E Filling, the application displays the following message: <Report nm1>-<user>, <Report nm2>-<user>….. One or more r Report(s) selected by you are locked by another user and not available for action.

If you try to E File a report which has already been generated/rejected, the application displays the following message: <Report nm1>, <Report nm2>….. Report(s) selected by you has already been actioned to either include in an e-file or rejected from the e-file. So cannot perform this action.

.


Searching E-File StatusChapter 7–About Regulatory Reporting

Searching E-File Status

The E-File Status tab in File Regulatory Reports page allows for management of the e-files that have been generated. The E-Filed Status search bar allows you to search for E-Files in different statuses and perform any of the following actions:

Adding Comment

Uploading Acknowledgment


To search for E-File using the E-Filed Status search bar, follow these steps:



3. Click the E-Filed Status tab.

Figure 40. E-File List


Viewing E-File, E-File Details, and E-File AttachmentsChapter 7–About Regulatory Reporting

4. To further filter the list of e-files, enter criteria in one or more of the provided filters, as described in the following table:

5. Click Search. The relevant search list displays.

Viewing E-File, E-File Details, and E-File Attachments

From e-file list results page, you can view the generated e-file, e-file details and e-file attachments. In the E-file List, the e-files are arranged in ascending order of SAR document number.

To view the generated e-file text file, select a record and click in the e-file column. A file download window prompts to Open or Save the e-file.

To view the e-file details, select a record and click in the Details column. This e-file details column displays the number of SARs included in the selected e-file within brackets. Click on the Details icon to view the details of all the SARs included in the e-file. These details are displayed below the E-File List.

To view the e-file attachments, select a record and click in the Attachments column. A file download window prompts to Open or Save the attachments zip file. The attachments zip file contains the .csv file included for a report from the regulatory reports details page.

Table 27. E-File Search Bar Field Descriptions


Report Name Enter the name of the regulatory report for which the e-file is generated. Wildcard searches are supported using % as the wildcard symbol.

Case ID Enter the Case ID of the report.

E-File Generated By Select a user role to search for e-files generated by the selected user.

E-File Generated From Date

Select the e-file generated date from the calendar to display e-files created from this date.

E-File Generated To Date Select the e-file generated to date from the calendar to display e-files generated until this date.

Jurisdiction Select the jurisdiction from the drop-down list to display e-files generated for the reports mapped to the selected jurisdiction.


Downloading the E- FileChapter 7–About Regulatory Reporting

Downloading the E- File

Once you generate an e-file, the OFS CRR application generates a .xml file with its content formatted according Financial Crimes Enforcement Network (FinCEN) specifications for electronic filing. You must save this .xml file and submit to FinCEN’s BSA E-Filing System.

To download the generated e-file, follow these steps:



3. Click the E-Filed Status tab. By default, the E-File List displays a list of e-files in different statuses.

4. Select a record and click in the E-File column. A File Download window displays.

5. Click Save to save a local copy of the file to your computer. The E-File is downloaded successfully.


Submitting the E-File at FinCENChapter 7–About Regulatory Reporting

Submitting the E-File at FinCEN

Once the e-file is generated, you must file them with the FinCEN’s BSA E-Filing System which in turn generates an acknowledgment or (XML) file.

To submit the E-File at BSA E-Filing System, follow these steps:

1. Login to the BSA E-Filing System website.

2. From the left hand side menu pane click New Reports, then select File Batch FinCEN SAR. An Open a Form window displays.

Figure 41. Open Existing Form Window

3. Click Open New Form. A BSA E-Filing SAR Batch Form opens.



Figure 42. BSA E-Filing SAR Batch Form

4. In the Filing Name field, enter a filing name. There is no specific requirement for the name of the filing. It is recommended that it must be a unique name as this can be used to identify the e-file on the BSA E-Filing site after submission.



5. In the Batch File field, attach the e-file that was downloaded from the RR application using the Add File button.

Note: The e-file is in .xml format.

6. In the Attachments File field, add the e-file attachment .zip file that was downloaded from the RR application along with the E-File.

Note: This .zip file is only available if attachments were associated with any SAR within the E-File.

7. In Number of Forms in Batch field, enter the number of individual SAR reports an e-file contains.

8. Click Sign with PIN and enter the details. The following message is added to the header and footer of the document: This form has been signed with a PIN and cannot be altered.

Note: This is the unique identifier assigned by BSA and FinCEN to ensure only authorized individuals are submitting SAR filings.

9. Click Save to save the filled BSA E-Filing SAR Batch Form. Once you save the form, the Submit button gets enabled.

10. Click Submit. A confirmation window displays the following message: We have received your submission. Please confirm the following information and retain it for your records. Please track the status of your submission using the 'Track Status' function in the BSA E-Filing system.

Note: The status of a submitted E-file can be any of the following:

Transmitted

Transmitted with Warnings

Rejected

Click the Accepted with Warning or Rejected status hyperlink in the Status column of Track Status page to view the submission errors on the e-file that are in Accepted with Warning or Rejected status.

11. Click OK. The e-file is successfully submitted at FinCEN.


Saving E-File Acknowledgments from FinCENChapter 7–About Regulatory Reporting

Saving E-File Acknowledgments from FinCEN

When the BSA E-Filing System Track Status page shows that the submitted file has been acknowledged you will be able to retrieve an acknowledgment file from the BSA E-Filing System Secure Messaging center. This file will be in a XML format. You must save this acknowledgment file and upload it into the OFS CRR application.

Note: An acknowledgment file will not be generated when an e-filing is rejected.

To save the acknowledgment file from BSA E-Filing System, follow these steps:

1. Login to the BSA E-Filing System.

2. From Secure Messaging, select View Inbox to display a list of acknowledgments.

3. Click the Subject of the required acknowledgment. A BSA E-Filing Secure Message Reply Form displays.

Figure 43. BSA E-Filing Secure Message Reply Form Window

4. Click View/Save Attachment. A window opens listing the acknowledgment (XML) file.

5. Click View/Save to save the XML file to your computer.

Uploading E-File Acknowledgment into OFS CRR Application

After downloading the acknowledgments from BSA E-Filing System, you can update the status of regulatory reports in the OFS CRR application. Once you upload the acknowledgment (XML) file into the application, the file is then parsed to retrieve the BSA Identifier that has been assigned by FinCEN to each report. This BSA Identifier is then added to the report record.

To upload the acknowledgment, follow these steps:


Uploading E-File Acknowledgment into OFS CRR Application Chapter 7–About Regulatory Reporting




4. From the E-File List results, select the record for which you want to upload the acknowledgment.

5. Click Upload Acknowledgment. A SAR Acknowledgment window displays.

Figure 44. SAR Upload Acknowledgment Window

6. Enter a Logical File Name for the acknowledgment.

7. Click Choose a File field and upload the respective XML file saved from the BSA E-Filing System.

8. Click Attach File. The following message displays: Add Operation Successful.

9. Click OK.


Rejecting SAR(s) from E-FileChapter 7–About Regulatory Reporting

10. Enter the details in the SAR Acknowledgment window as described in the following table:

11. Click Save and Parse. The following message displays: Update Operation Successful.

12. Click OK. You are navigated back to E-File List results.

Note:

Once you have uploaded the acknowledgment file for an e-file, a BSA ID is associated for the respective report.

Once you have uploaded the acknowledgment file successfully into the OFS CRR application, the XML file can be viewed and saved from the e-file list results. To view the acknowledgment file, select a record

and click . A file download window prompts to Open or Save the XML file.

When you try to upload an acknowledgment file for an e-file for which a XML file is already uploaded, the following warning message is displayed: Acknowledgment has already been uploaded

When an upload acknowledgment action doesn’t pass the validation check, the following error message is displayed: The number of SARs in the acknowledgment file does not match the number of SARs in the selected e-file. No updates will be made. Please verify you have the correct acknowledgment file.

Rejecting SAR(s) from E-File

You can reject SAR(s) from an e-file at any point of time before completing the SAR process. Once a SAR report is rejected from an e-file, it is removed from the reports list and the status of the rejected report changes to Rejected from E-File.

For SAR(s) that are not rejected, a new e-file is regenerated. If the acknowledgment file is already uploaded, you can complete the SAR process of the regenerated e-file by clicking Complete SAR Process.

You can correct/amend a rejected report and submit for Super User/Admin User role's approval. Once the corrected report is approved, you can follow the workflow of filing a regulatory report all over again as explained earlier. Subsequently, while uploading the acknowledgment (XML) file received from FinCEN into the OFS CRR application, a new BSA Identifier overwrites the previously associated BSA Identifier of the rejected SAR(s).

Table 28. SAR Acknowledgment Window Field Descriptions


E-File Name Displays the e-file name.Note: This field is auto generated

Ack Updated By Displays the name of the user role who is updating the acknowledgment. Note: This field is auto generated.

Ack Received On Select the date from the calendar on which the acknowledgment was received.

Ack Number Enter the acknowledgment number.

EFile Comments Enter any comments in this field.


Rejecting SAR(s) from E-FileChapter 7–About Regulatory Reporting

Note: Once an e-file has been uploaded and accepted by FinCEN, it is advised that you do not reject SARs from the e-file until after the acknowledgment file has been uploaded and parsed. If you reject a report after submission but before processing the acknowledgment files there will be a mismatch in the files referenced in the acknowledgment file and the current e-file. If a report is rejected prior to uploading the acknowledgement into the application, then you have to re-submit the e-file at FinCEN’s BSA E-Filing System to get the latest acknowledgment file.

To reject SARs from an e-file, follow these steps:



3. Click E-Filed Status tab.

4. From E-File List results, select an e-file record that you want to reject.

5. Click to view the e-file details.

6. From Report list page, select the required SAR(s) and click Reject. An E-File Rejected window displays.

Figure 45. E-File Rejected Window

7. Enter comments in the comments field and click Save. The following message displays: Reports Successfully removed from E-File.

Note: The comments box in the E-File rejected window allows entering a maximum of 120 characters. As you begin entering the comments, the word count displayed below the comments box keeps decreasing. If you try to enter more than 120 characters in the Comments box, the following message displays: Number of characters exceeded.

8. Click OK. The rejected e-file is removed from the E-File List results.


Completing the SAR ProcessChapter 7–About Regulatory Reporting


Once the status of the regulatory reports reflects the acknowledgment action and the BSA Tracking Identifier, you can complete the suspicious activity reporting process by clicking the Complete SAR Process. The status of all regulatory reports included in the e-file then changes to Filed. Once a report is moved to the Filed status it cannot be edited.

To complete the SAR process, follow these steps:




4. Search for the report using the E-File Search bar or from the E-File List results.

5. Select the e-file for which you want to complete the SAR process.

6. Click SAR Process Complete. The following message displays: Update Operation Successful.

7. Click OK.

Note:

When you try to take Complete SAR Process action before performing the Upload Acknowledgement action the following warning message displays: You must first upload an acknowledgement file before taking this action.

When you try to take Upload Acknowledgment action on a file for which SAR process has already been completed, the following warning message displays: The SAR process is complete for this file. No further action is permitted.

Adding Comments to E-File

You can add comments to an e-file record at any time using the Comment button. Adding comments to an e-file does not have any impact upon the reports included in the e-file. If you select to add a Comment to an e-file with an existing report you can either append to the previous comment or replace it completely.

To add comments to an e-file, follow these steps:



3. Click E-Filed Status tab.

4. From E-File List results, select an e-file record for which you want to add a comment.

5. Click Add Comments. An E-File Comments window displays.


Adding Comments to E-FileChapter 7–About Regulatory Reporting

Figure 46. E-Filing Comments Window

6. Enter comments in the comments field and click Save. The following message displays: Update Operation Successful.

Note: The comments box in the E-filing Comments window allows entering a maximum of 250 characters. As you begin entering the comments, the word count displayed below the comments box keeps decreasing. If you try to enter more than 250 characters in the Comments box, the following message displays: Number of characters exceeded.

7. Click OK. The E-File Comments window displays.

8. Click Close. The E-File List results page displays.


Date post:	30-Jul-2020
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